KeyCorp

1 week ago

KBCM Compliance Control Room

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 20 hours agoStatus: Live

Job Summary

Support the day-to-day operations of the KBCM Compliance Control Room by maintaining the firm’s information barrier program, including watch/restricted lists and wall-crossing documentation. Perform conflict-of-interest reviews and keep conflicts monitoring up to date. Review equity and fixed income research for regulatory compliance and assist with employee trading/personal account dealing and FINRA rule adherence. Deliver guidance and support audits, surveillance, and management reporting.

Location: Cleveland

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Assist with the daily operations of the KBCM Control Room, including maintaining the information barrier program.
•Administer watch and restricted lists and monitor/advise on wall crossings with required approvals and controls.
•Conduct conflict-of-interest reviews for investment banking, new business engagements, and capital markets activities; maintain conflicts monitoring.
•Review research publications for compliance with FINRA/SEC rules and monitor compliance with Regulation FD and related disclosure requirements.
•Support employee trading compliance, training/guidance, surveillance, reporting, and internal/regulatory audits and inquiries.

Pay and Benefits

Salary: USD 96,000 - 181,000 annually

Key Requirements

•Bachelor's degree in Finance, Business, Economics, Legal Studies, or a related field.
•3–7 years of compliance, legal, or control room experience within a broker-dealer, investment bank, or regulatory authority.
•Working knowledge of federal securities laws and regulations, including the Securities Act of 1933 and Securities Exchange Act of 1934, and applicable SEC/FINRA rules.
•Familiarity with information barrier requirements, MNPI handling, and conflict-of-interest frameworks.
•Strong analytical, organizational, and written/verbal communication skills.

Experience:3-7 yearsBroker-dealerInvestment bankingCapital marketsRegulatory authority

Education:Bachelor's in Finance, Business, Economics, Legal Studies (or related field)

Skills:AnalyticalOrganizationalWritten communicationVerbal communicationDocumentation

Tech Stack:StarComplianceMCO/MyComplianceOfficeSTAR

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

Glassdoor: 3.6

Website LinkedIn

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KeyCorp

1 week ago

KBCM Compliance Control Room

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 20 hours agoStatus: Live

Job Summary

Location: Cleveland

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Assist with the daily operations of the KBCM Control Room, including maintaining the information barrier program.
•Administer watch and restricted lists and monitor/advise on wall crossings with required approvals and controls.
•Conduct conflict-of-interest reviews for investment banking, new business engagements, and capital markets activities; maintain conflicts monitoring.
•Review research publications for compliance with FINRA/SEC rules and monitor compliance with Regulation FD and related disclosure requirements.
•Support employee trading compliance, training/guidance, surveillance, reporting, and internal/regulatory audits and inquiries.

Pay and Benefits

Salary: USD 96,000 - 181,000 annually

Key Requirements

•Bachelor's degree in Finance, Business, Economics, Legal Studies, or a related field.
•3–7 years of compliance, legal, or control room experience within a broker-dealer, investment bank, or regulatory authority.
•Working knowledge of federal securities laws and regulations, including the Securities Act of 1933 and Securities Exchange Act of 1934, and applicable SEC/FINRA rules.
•Familiarity with information barrier requirements, MNPI handling, and conflict-of-interest frameworks.
•Strong analytical, organizational, and written/verbal communication skills.

Experience:3-7 yearsBroker-dealerInvestment bankingCapital marketsRegulatory authority

Education:Bachelor's in Finance, Business, Economics, Legal Studies (or related field)

Skills:AnalyticalOrganizationalWritten communicationVerbal communicationDocumentation

Tech Stack:StarComplianceMCO/MyComplianceOfficeSTAR

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

Glassdoor: 3.6

Website LinkedIn