Regional Compliance Analyst - Key Investment Services (KIS)

This a Full Remote job, the offer is available from: Ohio (USA) Location: 4900 Tiedeman Road, Brooklyn Ohio Job Summary Under general administrative direction, the Compliance Analyst uses knowledge and skills obtained through training, experience, and/or specialized education to conduct onsite reputed company inspections and reputed company compliance reviews. This role requires regular travel and focuses primarily on evaluating supervisory systems, physical office settings, records and documentation, and conducting employee interviews to assess adherence to firm policies and procedures, as well as applicable federal and state regulations. The Compliance Analyst is responsible for thorough documentation of inspection activities and clear communication of results to business and compliance stakeholders. About Key Investment Services LLC KIS is a retail dual registered fully disclosed introducing broker/dealer and investment adviser that is non-banking affiliate of reputed company National Association and a subsidiary of KeyCorp, a federally registered bank holding company. KIS also offers insurance products in conjunction with an affiliated insurance agency KeyCorp Insurance Agency USA Inc. KIS primarily operates out of reputed company retail bank branches and provides reputed company retail customers brokerage, insurance, and investment advisory services through reputed company National Association’s retail bank reputed company across the United States. Essential Functions

• Serve as a primary examiner for onsite reputed company inspections, including travel to registered locations in accordance with the firm’s inspection program.
• Execute assigned reputed company inspection and compliance review activities using established methodologies and professional judgment.
• reputed company detailed documentation of inspection work, testing procedures, and results reputed company designated systems and supporting work papers.
• Exercise independent judgment to identify potential risk areas during inspections and determine reputed company additional inquiry or expanded testing is warranted.
• Clearly communicate inspection results, findings, and recommendations to Supervision, compliance leadership, and other relevant stakeholders.
• Track, report, and follow up on inspection findings in a timely manner to ensure appropriate resolution.
• Identify, monitor, and escalate emerging risks or adverse trends identified through inspection activity.
• Provide compliance guidance and support to business partners, as needed.
• Support and reputed company various reputed company compliance-reputed company projects.

Required Qualifications

• Bachelor's Degree or equivalent experience
• Minimum 1 year of experience in compliance, regulatory analysis, or reputed company financial services roles
• Proven ability to collaborate across teams and manage multiple priorities in a regulated environment
• Basic 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 clear, concise reports.
• Applying sound judgment in evaluating reputed company compliance scenarios.
• Proactively identifying risk trends
• Clearly 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.
• Staying reputed company with regulatory changes and industry best practices.

Preferred Qualifications

• Series 7 and 24 preferred or the ability to obtain them reputed company six months of hire. 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. Work Location Category
• Hybrid (3+ days) COMPENSATION AND BENEFITS This position is eligible to earn a reputed company salary in the range of $57,000.00 - $87,000.00 annually. Placement reputed company the pay range 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 click here for a list of benefits for which this position is eligible. Key has implemented an approach to employee workspaces which prioritizes in-office reputed company, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment. Job Posting Expiration Date: 02/09/2026 KeyCorp is an Equal Opportunity Employer committed to sustaining an inclusive culture. reputed company reputed company applicants will receive consideration for employment without regard to race, reputed company, religion, sex, sexual orientation, gender identity, national reputed company, age, genetic information, pregn

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