[Remote] Regional Compliance Analyst - Key Investment Services (KIS)

Note: The job is a remote job and is open to candidates in USA. Key Investment Services LLC is a retail dual registered fully disclosed introducing broker/dealer and investment adviser that is a non-banking affiliate of KeyBank National Association. The Compliance Analyst will conduct onsite branch inspections and compliance reviews, ensuring adherence to firm policies and federal and state regulations while providing compliance guidance to business partners.ResponsibilitiesServe as a primary examiner for onsite branch inspections, including travel to registered locations in accordance with the firm’s inspection programExecute assigned branch inspection and compliance review activities using established methodologies and professional judgmentPerform detailed documentation of inspection work, testing procedures, and results within designated systems and supporting work papersExercise independent judgment to identify potential risk areas during inspections and determine when additional inquiry or expanded testing is warrantedClearly communicate inspection results, findings, and recommendations to Supervision, compliance leadership, and other relevant stakeholdersTrack, report, and follow up on inspection findings in a timely manner to ensure appropriate resolutionIdentify, monitor, and escalate emerging risks or adverse trends identified through inspection activityProvide compliance guidance and support to business partners, as neededSupport and lead various ad hoc compliance-related projectsSkillsBachelor's Degree or equivalent experienceMinimum 1 year of experience in compliance, regulatory analysis, or related financial services rolesProven ability to collaborate across teams and manage multiple priorities in a regulated environmentBasic knowledge of securities industry concepts, compliance practices, supervisory frameworks, applicable federal and state regulatory requirements, investment products, and financial marketsDocumenting findings and communicating risks through clear, concise reportsApplying sound judgment in evaluating complex compliance scenariosProactively identifying risk trendsClearly conveying compliance requirements and findings to diverse audiencesManaging difficult conversations maturelyBuilding strong relationships across departments to support compliance initiativesIdentifying program improvement opportunities and designing effective solutions to address compliance challengesStaying current with regulatory changes and industry best practicesSeries 7 and 24 preferred or the ability to obtain them within six months of hireBenefitsEligibility for incentive compensation which may include production, commission, and/or discretionary incentivesPlease click [here](https://www.key.com/about/careers/working-with-us/benefits.html) for a list of benefits for which this position is eligibleKey has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environmentCompany OverviewAt KeyBank we’ve made a promise to our clients that they will always have a champion in us. It was founded in 1849, and is headquartered in Cleveland , Ohio, US, with a workforce of 10001+ employees. Its website is https://www.key.com.