Compliance Officer - Ecomms and Technology Surveillance

4 days ago

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KeyBank

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Retail Banking • Commercial Banking • Equipment Leasing • Finance • Investments

10,000+

Description

• Act as a compliance risk control subject-matter expert for our ecomm communications policies • Review ecomm communications, conduct analysis and identify suspicious activity as well as escalate cases for further review • Partner with KBCM Compliance Directors and LOB stakeholders to identify potential misconduct/technical rule violations; provide input on issue disposition • Assist with the design and development of monitoring reports • Create and execute testing enhancements to the monitoring program • Ecomm vendor management for multiple applications • Ecomm Recon Surveillance Reports monitoring and escalation to resolution. • Support senior staff in researching, responding, and reporting possible policy violations.

Requirements

• Bachelor’s degree; and/or experience in a financial services firm, regulatory organization, or legal/consulting firm. • Working knowledge of securities industry regulations, specifically federal and state requirements • Strong research and analytical skills • Strong written and verbal communication skills • Must be a self-starter, flexible, innovative and adaptable • Demonstrated interpersonal skills with the ability to work collaboratively (team player a must) • Adaptable to change and willing to work in a fast paced environment with a positive attitude • Have an inquisitive mind and willingness to learn new areas of reporting

Benefits

• Short-term incentive compensation • Deferred incentive compensation