Senior Compliance Manager

5 days ago

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KeyBank

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

10,000+

Description

• Supervise the daily activities of the regional compliance staff • Manage the annual branch examination process • Assist with facilitation of customer complaint, arbitration and litigation investigation • Conduct training on relevant compliance topics • Actively participate in the continuous development of proactive reporting

Requirements

• Bachelor’s Degree in a business-related field or equivalent experience • 5+ years of progressively responsible compliance, regulatory or investment industry experience • 3+ years supervisory experience • FINRA Series 7 and Series 24 • Solid knowledge of the securities, insurance and investment advisory industries • Strong written and verbal communication skills • Demonstrated ability to problem solve and exhibit strong analytical skills • Proven ability to foster open communication

Benefits

• Short-term incentive compensation • Deferred incentive compensation