Regional Compliance Officer - Key Investment Services

Key Investment Services LLC

Ohio, US
Base: $71,000.00 - $125,000.00 annually; bonus/equ...
Hybrid
Conduct onsite branch inspections
Draft and update compliance policies
Review advertising materials per finra rule 2210
The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets regulatory and internal standards through branch inspections and policy updates

Job Summary

  • The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets regulatory and internal standards through branch inspections and policy updates.
  • This position requires strong analytical skills and the ability to provide advice on emerging risks while investigating potential fraud and elder abuse claims.
  • The role offers a base salary range of $71,000.00 - $125,000.00 annually with eligibility for incentive compensation and comprehensive benefits.

Matching Summary

The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets regulatory and internal standards through branch inspections and policy updates.

Salary

Base: $71,000.00 - $125,000.00 annually; Bonus/Equity: Eligible for production, commission, and discretionary incentives; Benefits: Comprehensive list available via link

Skills & Requirements

Must-have

  • Conduct onsite branch inspections
  • Draft and update compliance policies
  • Review advertising materials per FINRA Rule 2210
  • Investigate fraud and elder abuse claims
  • Collaborate with supervision and sales teams

Nice-to-have

  • Strong analytical skills for complex scenarios
  • Ability to manage multiple priorities dynamically
  • Mature handling of difficult conversations
  • Proactive identification of risk trends

Key Requirements

  • Bachelor's Degree or equivalent experience
  • Minimum 5 years in compliance or risk management
  • Series 7 and 24 licenses or ability to obtain within six months

Work Rights

Not specified

Tailored Resume

Cover Letter