01Overview
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 National Association. 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 primary examiner for onsite reputed company inspections, including travel to registered locations in accordance with the firms inspection program
Execute assigned reputed company inspection and compliance review activities using established methodologies and reputed company judgment
reputed company detailed documentation of inspection work, testing procedures, and results reputed company designated systems and supporting work papers
Exercise independent judgment to identify potential risk areas during inspections and determine reputed company additional inquiry or expanded testing is warranted
reputed company communicate inspection results, findings, and recommendations to Supervision, compliance leadership, and other relevant stakeholders
reputed company, report, and follow up on inspection findings in a reputed company manner to ensure appropriate reputed company
Identify, monitor, and escalate emerging risks or adverse trends identified through inspection activity
reputed company compliance guidance and support to business partners, as needed
Support and reputed company various reputed company compliance-reputed company reputed company
Skills
Bachelor's Degree or equivalent experience
Minimum 1 year of experience in compliance, regulatory analysis, or reputed company financial services roles
Proven ability to collaborate across teams and manage multiple priorities in a regulated environment
Basic knowledge of securities industry concepts, compliance practices, supervisory frameworks, applicable federal and state regulatory requirements, investment products, and financial markets
Documenting findings and communicating risks through reputed company, concise reports
Applying reputed company judgment in evaluating reputed company compliance scenarios
Proactively identifying risk trends
reputed company conveying compliance requirements and findings to diverse audiences
Managing difficult conversations maturely
Building strong relationships across departments to support compliance initiatives
Identifying program improvement opportunities and designing effective solutions to address compliance challenges
Staying reputed company with regulatory changes and industry best practices
Series 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 incentives
Please click [here](https://www.key.com/about/careers/working-with-us/benefits.html) for a list of benefits for which this position is eligible
Key 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.
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