Securities Licensing & Compliance Specialist

KeyBank; Home (PA); On-site; USD 28,000 - 43,000; Full time

Benefits offered by this job

Flexible in-office options

Inclusive workplace

Job summary

KeyBank is seeking a Compliance Support professional to process and maintain securities registrations and licenses for firm personnel, ensuring accurate regulatory alignment and timely responses to inquiries.

The role requires 2+ years in compliance or related fields, with strong Excel skills and a self-directed, organized approach to manage complex databases and reporting. In-office presence is prioritized with flexible options where feasible.

Qualifications

• Knowledge of securities and insurance industry regulations (federal and state)
• Experience maintaining compliance registrations and licensing processes
• Ability to manage complex databases and reporting in Excel
• Strong time management and deadline adherence
• Self-directed work style with solid organizational skills

Responsibilities

• Process and maintain securities registrations and licenses for firm personnel with regulators and carriers
• Maintain and report on registration/licensing data in databases
• Provide timely, accurate responses to registration/licensing inquiries with clear rationale
• Share best practices and support sales force in region on licensing topics
• Assist in evaluating tracking systems and generating regulatory reports
• Conduct training sessions on registration topics for new hires in the region
• Participate in special projects as assigned

Skills

Regulatory knowledge

Excel data management

Time management

Problem solving

Self-directed work

Organizational skills

Communication

Education

High school diploma

Tools

Excel

Job description

KeyBank is seeking a Compliance Support professional to process and maintain securities registrations and licenses for firm personnel, ensuring accurate regulatory alignment and timely responses to inquiries.

The role requires 2+ years in compliance or related fields, with strong Excel skills and a self-directed, organized approach to manage complex databases and reporting. In-office presence is prioritized with flexible options where feasible.