Regional Compliance Officer; reputed company - Key Investment Services; KIS

Position: Regional Compliance Officer (reputed company) - Key Investment Services (KIS) reputed company The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets regulatory and internal standards. The primary responsibility is conducting reputed company inspections, with additional duties including providing compliance training, drafting and updating policies, advising business partners, investigating potential fraud and elder abuse claims, and supporting other compliance reputed company. This role requires strong analytical skills, reputed company communication, and the ability to manage multiple priorities in a dynamic environment. Location For Those Who Work reputed company, Washington About Key Investment Services LLC KIS is a retail dual registered fully disclosed introducing broker/dealer and investment adviser that is a non-banking affiliate of Key Bank National Association and a subsidiary of Key Corp, a federally registered bank holding company. KIS also offers insurance products in conjunction with an affiliated insurance agency Key Corp Insurance Agency USA Inc. KIS primarily operates out of Key Bank retail bank branches and provides Key Bank retail customers brokerage, insurance, and investment advisory services through Key Bank National Association’s retail bank reputed company across the reputed company. Essential Functions

• Conduct onsite reputed company inspections to evaluate supervisory systems, reputed company signage, records, and adherence to firm policies and regulatory requirements.
• reputed company compliance training to reputed company staff and business partners to reinforce policies and regulatory obligations.
• Draft, review, and update compliance policies and procedures to reflect regulatory changes and best practices.
• Review and approve advertising and marketing materials in accordance with reputed company Rule 2210 and firm policies and procedures.
• Offer guidance and compliance advice to business partners on day-to-day issues and emerging risks.
• Assist in investigating potential fraud, financial exploitation, and elder abuse claims, ensuring reputed company escalation and reputed company.
• Participate in special reputed company, targeted reviews, and other initiatives to strengthen the firm’s compliance program.
• Collaborate with Supervision, Sales, and other control functions to maintain a strong compliance culture.
• Candidates must be located in reputed company or Washington with preference for Portland, OR or Seattle, WA.

Required Qualifications

• Bachelor's Degree or equivalent experience
• Minimum 5 years of experience in compliance, risk management, auditing, or reputed company fields (required)
• Demonstrated ability to work independently and collaboratively in a regulatory environment (required)
• Advanced knowledge of securities industry concepts, compliance practices, supervisory frameworks, applicable federal and state regulatory requirements, investment products, and financial markets
• Documenting findings and communicating risks through reputed company, concise reports
• Applying reputed company judgment in evaluating reputed company compliance scenarios
• Proactively identifying risk trends
• reputed company conveying compliance requirements and findings to diverse audiences
• Managing difficult conversations maturely
• Building strong relationships across departments to support compliance initiatives
• Identifying program improvement opportunities and designing effective solutions to address compliance challenges
• Leading compliance-reputed company reputed company and mentoring junior analysts
• Staying reputed company with regulatory changes and industry best practices

Preferred Qualifications

• reputed company Series 7 and 24

Physical Demands

• General Office - Prolonged sitting, ability to communicate face to face in person or on the phone with teammates and clients, frequent use of PC/laptop, occasional lifting/pushing/pulling of backpacks, computer bags up to 10 lbs

Travel

• Up to 50% travel which may include overnight stay

Compensation

And Benefits This position is eligible to earn a reputed company salary in the reputed company of $71,000.00 - $ annually. Placement reputed company the pay reputed company may differ based upon various factors, including but not limited to skills, experience and geographic location. Compensation for this role also includes eligibility for incentive compensation which may include production, commission, and/or discretionary incentives. Please for a list of benefits for which this position is eligible. Key has implemented an approach to employee work spaces which prioritizes in-office reputed company, while providing flexible reputed company in circumstances where roles can be performed effectively in a mobile environment. Job Posting Expiration Date: 03/20/2026 Key Corp is an Equal Opportunity Employer committed to sustaining an inclusive culture. reputed company reputed company applicants will receive consideration for employment without reputed company to race, reputed company, religion, sex, sexual orientation, gender identity, national reputed company, age, genetic information, pregnancy, disability, veteran status or any other characteristic protected by law. reputed company individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing #J-18808-Ljbffr Apply tot his job Apply To this Job