Brokerage Compliance Lead — FINRA Designated Principal

KeyBank; Brooklyn (OH); Hybrid; USD 69,000 - 105,000; Full time

Job summary

KeyBank is seeking a Senior Central Supervision Principal to oversee FINRA designated supervision of registered representatives within the broker-dealer channel. The role ensures compliance for brokerage, advisory, and insurance activities while coordinating with Sales Leaders and teams.

Responsibilities include supervising activity, reviewing reports, maintaining records, and participating in audits and training. The position requires relevant FINRA licenses and a strong compliance background.

Qualifications

• Bachelor's degree in business administration or related field preferred
• Equivalent experience acceptable
• 5+ years securities supervision or compliance experience preferred
• FINRA licenses S7, S63, S65, S66, S24, S53 required
• Health, Life, and Variable Insurance licenses required

Responsibilities

• Serve as FINRA Designated Principal for assigned registered representatives.
• Supervise trading activity, annuity and insurance contracts, advisory program selections, and model changes.
• Oversee financial planning activities and ensure compliance with firm standards.
• Maintain electronic records of client files per regulatory guidelines.
• Complete monthly and quarterly certifications and respond to audits.

Skills

FINRA rules

Securities supervision

Compliance investigations

Audit response

Microsoft Office

Education

Bachelor's degree or equivalent experience

Tools

Microsoft Office

Job description

KeyBank is seeking a Senior Central Supervision Principal to oversee FINRA designated supervision of registered representatives within the broker-dealer channel. The role ensures compliance for brokerage, advisory, and insurance activities while coordinating with Sales Leaders and teams.

Responsibilities include supervising activity, reviewing reports, maintaining records, and participating in audits and training. The position requires relevant FINRA licenses and a strong compliance background.