Senior Complaints & Compliance Oversight Lead (Hybrid)

KeyBank; Buffalo (NY); Hybrid; USD 69,000 - 105,000; Full time

Benefits offered by this job

Incentive compensation

Hybrid work arrangement

Job summary

KeyBank is seeking a Senior Supervision Principal - Complaints Analyst to oversee 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 FINRA reporting compliance.

The role includes supervisory responsibilities for designated personnel and ongoing training. The position requires 5+ years in compliance/risk management within banking or brokerage, with licenses

Qualifications

• Bachelor's Degree or equivalent experience.
• 5+ years of experience in compliance, risk management, auditing, securities supervision, or related fields.
• Experience within a brokerage or bank-based brokerage is preferred.
• SIE, Series 7, 24, 66, and 53 or 9/10 required.
• Life, Health, and Variable Annuity License required.

Responsibilities

• Manage the end‑to‑end complaint resolution process within the first line of defense, ensuring timely and compliant handling of customer concerns.
• Develop and maintain complaint‑handling procedures aligned with regulatory requirements and internal standards.
• Analyze complaint trends and root causes to identify risk areas and recommend process improvements.
• Investigate complaints and evaluate underlying sales‑practice concerns, collaborating with compliance teams and business partners to determine appropriate resolution.
• Prepare and deliver reports on complaint metrics, trends, and risk indicators to management and governance committees, including FINRA 4530 reporting.
• Collaborate with internal stakeholders to ensure consistent and effective complaint management practices across business units.
• Provide guidance and training to team members and business partners on complaint‑handling best practices.
• Escalate significant issues or regulatory risks identified through complaint analysis to appropriate leadership.

Skills

Complaint handling

Regulatory know‑how

Data analysis

Reporting & metrics

Risk assessment

Cross‑functional collaboration

Communication

Auditing awareness

Decision making

Education

Bachelor's Degree or equivalent

Job description

KeyBank is seeking a Senior Supervision Principal - Complaints Analyst to oversee 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 FINRA reporting compliance.

The role includes supervisory responsibilities for designated personnel and ongoing training. The position requires 5+ years in compliance/risk management within banking or brokerage, with licenses