Lead Senior Complaints & Supervision Principal

KeyBank; Brooklyn (OH); Ibrido; USD 69.000 - 105.000; Tempo pieno

Vantaggi offerti da questo lavoro

Hybrid work model

Performance incentives

Collaborative office environment

Descrizione del lavoro

KeyBank in Brooklyn, OH seeks a Senior Supervision Principal – Complaints Analyst to lead the customer complaint process within the first line of defense. You will partner with business units to identify root causes, implement corrective actions, monitor trends, and ensure regulatory compliance including FINRA 4530 reporting.

This role also serves as the FINRA Designated Principal supervising brokerage activities and insurance contracts, training teams, reviewing accounts and client

Competenze

• Bachelor’s degree or equivalent experience (preferred).
• 5+ years of compliance, risk management, or securities supervision experience.
• Licenses: SIE, Series 7, 24, 66, and 53 or 9/10; Life/Health/Variable Annuity licenses.
• Strong analytical and communication skills; ability to supervise and train teams.

Mansioni

• Oversee end-to-end complaint resolution with timely, compliant actions.
• Act as FINRA Designated Principal supervising brokers and products.
• Prepare reports on complaints and regulatory metrics for governance.
• Stay current on regulatory changes and drive best practices.

Conoscenze

Complaint investigation

Regulatory knowledge

Data analysis

Cross-functional collaboration

Supervisory experience

Formazione

Bachelor's Degree

SIE, Series 7, 24, 66, and 53 or 9/10

Life, Health, and Variable Annuity License

Descrizione del lavoro

KeyBank in Brooklyn, OH seeks a Senior Supervision Principal – Complaints Analyst to lead the customer complaint process within the first line of defense. You will partner with business units to identify root causes, implement corrective actions, monitor trends, and ensure regulatory compliance including FINRA 4530 reporting.

This role also serves as the FINRA Designated Principal supervising brokerage activities and insurance contracts, training teams, reviewing accounts and client