Key Investment Services Associate - Central Supervision Principal

November 7

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KeyBank

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

10,000+

Description

• Support the bank channel broker-dealer in a supervisory principal capacity • Supervise and surveil bank brokerage, advisory and insurance sales activities • Collaborate with Senior Associate-Central Supervision Principals and KIS Compliance • Ensure compliance with firm policies and procedures • Conduct reviews of new accounts, email communication and customer correspondence • Review and approve marketing materials and outside business activities • Maintain electronic records of client files • Participate in training of KIS registered representatives

Requirements

• Bachelor’s degree – Business Administration preferred • 3-5 years’ experience in securities supervision/compliance activity within a brokerage or bank-based brokerage firm. • FINRA Series 7, 63 & 65 (or 66), 24, and 53 licenses • Health, life, variable insurance licenses for applicable states

Benefits

• Eligibility for short-term incentive compensation • Eligibility for deferred incentive compensation • Flexible options for roles