Compliance Officer - Ecomms and Technology Surveillance

Location:

The KBCM Ecomms Compliance Officer is a vital member of a team supporting a function, product or process which ensures Key follows all required rules and regulations.  The Ecomms Compliance Officer  is part of the second line of defense and is expected to conduct thorough analysis and resolve complex issues. Incumbent will have full ownership of one or more processes, reports, or procedures, and may be considered a subject matter expert on cross functional projects.

This role will utilize multiple vendor solutions that enable the search, review, analysis, and export of electronic communication data for various analytic and reporting purposes. The incumbent will work closely with compliance teams, the line of business, and other support partners to perform appropriate surveillance, data analysis, and issue resolution as part of KBCM’s electronic communications compliance program.

• 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.

• 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) and with people at all levels of the organization
• 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

Critical Thinking / Problem Solving: Leverages critical thinking and business acumen; ties work with understanding of impacts / intersections with other business partners / LOB. Thoroughly vets and thinks through options before making a decision.

Communication: Strong written and verbal communication skills; organizes material for brevity, persuasiveness, and impact. Effectively communicates key points to respective stakeholders, with the right amount of detail. Proactively shares information beyond those at the table who may have a need to know; comfortable in situations where conflict is present.

Partnering / Influencing: Proven relationship building ability; strong interpersonal skills.

Business Acumen: Understands assigned LOB strategy, possesses intellectual curiosity. Understands key drivers of financial results and business impact; developing understanding of how business works.

• Experience with a Broker Dealer or FINRA
• Proficiency in Bloomberg Vault or other ecomm retention platforms
• Experience with complex databases
• Experience with surveillance analysis
• Proficiency in following technological domains and programming languages-
  • Microsoft Excel / PowerPoint / Access
  • Business Intelligence tools such as Tableau or Power BI
  • Databases – common relational database environments – Microsoft SQL Server, Oracle, PostgreSQL, MySQL, etc
  • Data modeling and data engineering experience
  • SQL query writing and or familiarity with data programming
  • Query writing/coding
  • Data analytics

COMPENSATION AND BENEFITS

This position is eligible to earn a base salary in the range of $70,000 to $100,000 annually depending on location and job-related factors such as level of experience. Compensation for this role also includes eligibility for short-term incentive compensation and deferred incentive compensation subject to individual and company performance.

Please click here for a list of benefits for which this position is eligible.

Key has implemented a role-based Mobile by Design approach to our employee workspaces, dedicating space to those whose roles require specific workspaces, while providing flexible options for roles which are less dependent on assigned workspaces and can be performed effectively in a mobile environment. As a result, this role may be Mobile or Home-based, which means you may work primarily either at a home office or in a Key facility to perform your job duties.

KeyCorp is an Equal Opportunity and Affirmative Action Employer committed to building a diverse, equitable and inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or other protected category.

Qualified 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@keybank.com.

#LI-Remote