Key Investment Services Associate Central Supervision Principal

Location:
4900 Tiedeman Road - Brooklyn, Ohio 44144-2302

Position Location: Ideal candidate will reside in KeyBank footprint (Alaska, Colorado, Connecticut, Idaho, Indiana, Maine, Massachusetts, Michigan, New York, Ohio, Oregon, Pennsylvania, Utah, Vermont, Washington).

ABOUT THE JOB:

The Central Supervision Group (CSG) represents the Office of Supervisory Jurisdiction for Key Investment Services LLC. The Associate-Central Supervision Principal reports to the Head of CSG and supports the bank channel broker-dealer in a supervisory principal capacity for a group of KIS registered representatives. The Associate-Central Supervision Principal is responsible for the principal supervision and surveillance of bank brokerage, advisory and insurance sales activities. This includes, but is not limited to, new account opening, investment and insurance suitability review, periodic sales activity reporting, email review and approval, and incoming and outgoing customer correspondence. Through collaboration with the Senior Associate-Central Supervision Principals, KIS Compliance and the firm's operational and service teams, the Associate-Central Supervision Principal actively communicates with KIS registered representatives and Sales Leaders and ensures firm policies and procedures are understood, communicated and followed by KIS registered representatives.

Essential Job Functions:

1. Develop and maintain an active and productive relationship with Sales Leaders and KIS registered representatives for corresponding territories.
2. Conduct supervisory principal review of new accounts.
3. Conduct supervisory principal review of email communication.
4. Conduct supervisory principal review of customer correspondence.
5. Conduct supervisory principal review and respond to state registration and Blue Sky issues.
6. Review and approve advertising materials, speaking engagements and seminars.
7. Review and approve employees' outside business activities and outside accounts.
8. Conduct supervisory principal review of employee trading.
9. Review periodic sales activity and exception reports, and work with KIS registered representatives on issue resolution.
10. Ensure electronic records of all client files are maintained in accordance with firm and regulatory guidelines.
11. Actively participate in training of KIS registered representatives.

Marginal or Peripheral Job Functions:

1. Conduct supervisory principal review of trading activity.
2. Conduct supervisory principal review of annuity & insurance contracts.
3. Conduct supervisory principal review of advisory program selections and model changes.
4. Identify sales activity trends or patterns, and work with the KIS registered representatives to resolve concerns or issues, as necessary.
5. Assist and respond to internal and external audit reviews and information gathering requests.

Required Qualifications:

1. Bachelor's degree - Business Administration preferred.
2. 3-5 years' experience in securities supervision/compliance activity within a brokerage or bank-based brokerage firm.
3. FINRA Series 7, 63 & 65 (or 66), 24, and 53 licenses.
4. Health, life, variable insurance licenses for applicable states.

Preferred Qualifications:

1. Strong knowledge of investment products, including annuities and insurance. Ability to apply financial needs analysis and asset allocation concepts.
2. Strong knowledge of SEC & FINRA rules & regulations.

Competencies / Skills:

1. Excellent communication skills, verbal and written.
2. Strong decision-making skills.
3. Ability to work independently or within a team environment, including the ability to be comfortable receiving instructions from several team members.
4. Highly organized with a strong penchant for accuracy.
5. Ability to prioritize and multi-task. Demonstrated ability to meet deadlines and exhibit strong time management skills.
6. Relationship building and maintenance skills. Demonstrated ability to collaborate effectively with multiple teams or partners.
7. Ability to effectively resolve conflicts with internal and external partners and/or clients.
8. Exhibits discretion and sensitivity as many situations are confidential.

COMPENSATION AND BENEFITS

This position is eligible to earn a base salary rate of $63,000 to $72,000 annually. Compensation for this role also includes eligibility for short-term incentive compensation and deferred incentive compensation subject to individual and company performance.

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.

Job Posting Expiration Date: 12/27/2024

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 ***.