Senior Central Supervision Principal-5

KeyCorp
United States
Workplace: HybridFull timeUSD 69,000 - 105,000 annuallyFunction: Solutions Engineering & Sales EngineeringExperience: 5+ yearsEducation: bachelorsSkills: ["Communication","Relationship building","Decision-making","Conflict resolution","Independent work"]

Serve as the FINRA Designated Principal for assigned registered representatives in the bank’s broker-dealer channel. Supervise trading, annuity and insurance contracts, advisory program selections, and model changes, and review exception reports and heightened supervision cases. Investigate and resolve customer complaints, maintain compliant client records, complete required monthly/quarterly certifications, support audit requests, and provide training and guidance on SEC/FINRA and firm policies.

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FursaFursa
KeyCorp
KeyCorp
1 day ago

Senior Central Supervision Principal-5

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Last checked: 5 hours agoStatus: Live

Job Summary

Serve as the FINRA Designated Principal for assigned registered representatives in the bank’s broker-dealer channel. Supervise trading, annuity and insurance contracts, advisory program selections, and model changes, and review exception reports and heightened supervision cases. Investigate and resolve customer complaints, maintain compliant client records, complete required monthly/quarterly certifications, support audit requests, and provide training and guidance on SEC/FINRA and firm policies.
Location: United States
Workplace: Hybrid
Employment Type: Full time
Job Function: Solutions Engineering & Sales Engineering
Seniority: Mid level

Key Responsibilities

  • •Serve as the FINRA Designated Principal for assigned registered representatives.
  • •Supervise trading activity, annuity and insurance contracts, advisory program selections, and model changes.
  • •Conduct periodic reviews of sales activity, exception reports, and heightened supervision cases.
  • •Investigate and resolve customer complaints, including direct client contact when necessary.
  • •Complete monthly and quarterly certifications, respond to audit requests, and maintain electronic records in accordance with regulatory guidelines.
Travel: Low travel

Pay and Benefits

Salary: USD 69,000 - 105,000 annually

Key Requirements

  • •Bachelor’s degree in business administration or related field (preferred) or equivalent experience (required).
  • •5+ years of experience in securities supervision or compliance within a brokerage or bank-based brokerage firm (preferred).
  • •FINRA License S7 (required).
  • •FINRA License S63, S65, S66, S24, and S53 (required).
  • •Health, Life, and Variable Insurance licenses for applicable states (required).
Experience:5+ yearsSecurities supervisionComplianceBrokerageBank-based brokerageFINRASEC regulatory compliance
Education:Bachelor's
Skills:CommunicationRelationship buildingDecision-makingConflict resolutionIndependent work
Licenses:FINRA License S7FINRA License S63FINRA License S65FINRA License S66FINRA License S24FINRA License S53Health, Life, and Variable Insurance licenses
Certifications:FINRA License S7FINRA License S63FINRA License S65FINRA License S66FINRA License S24FINRA License S53Health, Life, and Variable Insurance licenses
Tech Stack:Microsoft OfficeWeb-based compliance portals

Company Brief

KeyCorp
KeyCorp operates KeyBank, providing retail and commercial banking, lending, wealth management, and investment services to individuals, businesses, and institutions across the United States.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Cleveland, United States
Founded: 1849
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Glassdoor: 3.6
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