KIS Regulatory Technology Senior Compliance Manager

Location:

• Lead the management of KIS'seCommunications program, including program oversight, population management, vendor coordination, and annual reviews (e.g., lexicon tuning, procedural updates, senior management approvals).
• Collaborate with Compliance and Supervisory teams to evaluate and enhance technological tools and resources.
• Oversee vendor relationships supporting eCommunications, supervisory systems, and other compliance-related platforms.
• Act as theCompliance SMEfor business-led technology initiatives, ensuring regulatory requirements are embedded in design and implementation.
• Manage the implementation and ongoing maintenance of compliance technologies.
• Develop and maintainmetrics and reportingto support oversight and regulatory reporting.
• Monitor emerging technologies to identify opportunities for improved compliance and supervisory capabilities.
• Support regulatory, legal, and audit inquiries by gathering and providing relevant information.
• Identify and implement new methods to detect and report potential compliance risks (e.g., sales trends, product concentrations, policy gaps).
• Serve as the primary KIS Compliance liaison for administrative and operational teams on technology-related matters.
• Represent KIS Compliance on firm-wide and enterprise-level technology project teams.
• Participate in special projects and initiatives as assigned.

• Bachelor's Degree in a business-related field or equivalent experience
• 5+ years of progressively responsible compliance, regulatory or investment industry experience
• 3+ years supervisory experience
• Prior experience leading surveillance strategy and control room operations, including eCommunications monitoring systems
• Solid knowledge of the securities, insurance and investment advisory industries, including SEC, FINRA and state insurance and investment advisory laws, rules and regulations
• Solid project management experience including ability to drive adoption of regulatory-driven platform changes through formal change management frameworks
• Solid knowledge of brokerage industry operations and service functions
• Strong written and verbal communication skills
• Demonstrated ability to problem solve and exhibit strong analytical skills
• Demonstrated ability to work in self-directed manner with good organizational skills
• Proven ability to foster open communication

COMPENSATION AND BENEFITS

This position is eligible to earn a base salary in the range of $100,000 to $150,000 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 an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment.

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.

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