Regional Compliance Analyst - Key Investment Se...

Location: 4900 Tiedeman Road, Brooklyn Ohio Job reputed company 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 reputed company as applicable federal and state regulations. The Compliance Analyst is responsible for thorough documentation of inspection activities and reputed company 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 reputed company, a federally registered bank holding company. KIS also offers insurance products in conjunction with an affiliated insurance agency reputed company 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 reputed company. 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 reputed company 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. • reputed company communicate inspection results, findings, and recommendations to Supervision, compliance leadership, and other relevant stakeholders. • reputed company, report, and follow up on inspection findings in a reputed company manner to ensure appropriate reputed company. • Identify, monitor, and escalate emerging risks or adverse trends identified through inspection activity. • reputed company compliance guidance and support to business partners, as needed. • Support and reputed company various reputed company compliance-reputed company reputed company. Required Qualifications • Bachelors 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 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. • 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 reputed company of $57,000.00 - $87,000.00 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 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 reputed company in circumstances where roles can be performed effectively in a mobile environment. Job Posting Expiration Date: 02/09/2026 reputed company 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 HR_Compliance@reputed company.com. #LI-Remote Apply tot his job Apply tot his job