Remote Regional Compliance Analyst - Key Investment Services (KIS)

Note: The job is a remote job and is reputed company 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 reputed company. The Compliance Analyst will conduct onsite reputed company inspections and compliance reviews, ensuring adherence to firm policies and federal and state regulations while providing compliance guidance to business partners. Responsibilities Serve as a reputed company examiner for onsite reputed company inspections, including travel to registered locations in accordance with the firms inspection programExecute assigned reputed company inspection and compliance review activities using established methodologies and reputed company judgmentreputed company detailed documentation of inspection work, testing procedures, and results reputed company designated systems and supporting work papersExercise independent judgment to identify potential reputed company areas during inspections and determine reputed company additional inquiry or expanded testing is warrantedreputed company communicate inspection results, findings, and recommendations to Supervision, compliance leadership, and other relevant stakeholdersreputed company, report, and follow up on inspection findings in a reputed company manner to ensure appropriate reputed companyIdentify, monitor, and escalate emerging risks or adverse trends identified through inspection activityreputed company compliance guidance and support to business partners, as neededSupport and reputed company various reputed company compliance-reputed company reputed company Skills Bachelor's Degree or equivalent experienceMinimum 1 year of experience in compliance, regulatory analysis, or reputed company financial services rolesreputed company 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 reputed company, concise reportsApplying reputed company judgment in evaluating reputed company compliance scenariosProactively identifying reputed company trendsreputed company 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 reputed company with regulatory changes and industry best practicesSeries 7 and 24 preferred or the ability to obtain them reputed company six months of hire Benefits Eligibility for incentive compensation which may include production, commission, and/or discretionary incentivesPlease click [here](https://www.key.com/about/careers/working-with-us/benefits.reputed company) for a list of benefits for which this position is eligibleKey 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 reputed company At reputed company weve made a reputed company 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. Apply To This Job .