Senior Brokerage Compliance Principal

KeyCorp; Brooklyn (OH); On-site; USD 69,000 - 105,000; Full time

Benefits offered by this job

Hybrid work environment

Incentive compensation eligibility

Job summary

KeyCorp is seeking a Senior Central Supervision Principal to oversee FINRA-registered activities, supervising trading, annuities, and advisory programs while ensuring regulatory compliance. This role collaborates with Sales Leaders and reps across territories.

Requirements include 5+ years in securities supervision, multiple FINRA licenses, and relevant licenses for health, life, and variable insurance. This position is hybrid, with in-office presence prioritized.

Qualifications

• Bachelor's degree or equivalent experience.
• 5+ years in securities supervision or compliance.
• FINRA licenses S7, S63, S65, S66, S24 and S53 required.
• Health, Life and Variable Insurance licenses required.
• Strong knowledge of SEC/FINRA rules and regulations.

Responsibilities

• Serve as the FINRA Designated Principal for assigned registered representatives.
• Supervise trading activity, annuities and insurance contracts, and advisory program selections.
• Oversee financial planning activities and ensure compliance with firm standards.
• Review sales activity, exception reports, and heightened supervision cases.
• Investigate and resolve customer complaints, including direct client contact.

Skills

FINRA rules

Compliance supervision

Communication

Auditing

Client relations

Microsoft Office

Training others

Recordkeeping

Team collaboration

Education

Bachelor's Degree in business administration or related field

FINRA licenses (S7, S63, S65, S66, S24, S53)

Health, Life, Variable Insurance licenses

Tools

Compliance portals

CRM systems

Microsoft Excel

Job description

KeyCorp is seeking a Senior Central Supervision Principal to oversee FINRA-registered activities, supervising trading, annuities, and advisory programs while ensuring regulatory compliance. This role collaborates with Sales Leaders and reps across territories.

Requirements include 5+ years in securities supervision, multiple FINRA licenses, and relevant licenses for health, life, and variable insurance. This position is hybrid, with in-office presence prioritized.