Regional Compliance Officer - Key Investment Services

Key Investment Services LLC

For Those Who Work At Home, Ohio, US
Base: $71,000.00 - $125,000.00 annually; bonus/equ...
Hybrid
Conduct onsite branch inspections
Draft and update compliance policies
Investigate fraud and elder abuse claims
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 advanced knowledge of securities industry concepts, supervisory frameworks, and the ability to investigate 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 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/or discretionary incentives; Benefits: Eligible for standard employee benefits list

Skills & Requirements

Must-have

  • Conduct onsite branch inspections
  • Draft and update compliance policies
  • Investigate fraud and elder abuse claims
  • Review advertising under FINRA Rule 2210
  • Provide compliance training to staff

Nice-to-have

  • Strong analytical skills for risk trends
  • Ability to manage difficult conversations maturely
  • Build strong cross-departmental relationships
  • Clear communication with diverse audiences

Key Requirements

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

Work Rights

Not specified

Tailored Resume

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