Regional Compliance Officer (West) - Key Investment Services (KIS)
KeyBankPortland, Oregon, United States • Seattle, Washington, United States
Posted May 12, 2026
71000 - 125000 USD
Full Time
About the Company
KIS is a retail dual registered fully disclosed introducing broker/dealer and investment adviser that is non-banking affiliate of KeyBank National Association and a subsidiary of KeyCorp, a federally registered bank holding company.
Job Description
The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets regulatory and internal standards. The primary responsibility is conducting branch inspections, though this role also involves providing compliance training, drafting and updating policies, providing advice and guidance to business partners, investigating potential fraud and elder abuse claims, and supporting other compliance projects.
Requirements
- FINRA Series 7 and 24 or willing to obtain
- Bachelor's Degree or equivalent experience
- Minimum 5 years of experience in compliance, risk management, auditing, or related fields
- Demonstrated ability to work independently and collaboratively in a regulatory environment
- Advanced knowledge of securities industry concepts, compliance practices, supervisory frameworks, applicable federal and state regulatory requirements, investment products, and financial markets
Benefits
- Base salary in the range of $71,000.00 - $125,000.00 annually
- Eligibility for incentive compensation
- List of benefits