KIS Regulatory Technology Senior Compliance Manager
Location: 4900 Tiedeman Road, Brooklyn Ohio The Regulatory Technology Senior Compliance Manager is a critical member of the KIS Compliance team, responsible for supporting key compliance, supervisory, and regulatory technology initiatives. This role ensures that KIS adheres to applicable rules and regulations by managing and supporting technology platforms and vendor relationships that underpin compliance functions. This individual contributor role sits within the second line of defense and serves as a subject matter expert (SME) on compliance technology. The ideal candidate will be a trusted resource both internally and externally, known for their reliability and expertise.
Key Responsibilities
- Lead the management of KIS’s eCommunications program, including program oversight, population management, vendor coordination, and annual reviews (e.g., lexicon tuning, procedural updates, senior management approvals).
- Collaborate with Compliance and Supervisory teams to evaluate and enhance technological tools and resources.
- Oversee vendor relationships supporting eCommunications, supervisory systems, and other compliance-related platforms.
- Act as the Compliance SME for business-led technology initiatives, ensuring regulatory requirements are embedded in design and implementation.
- Manage the implementation and ongoing maintenance of compliance technologies.
- Develop and maintain metrics and reporting to support oversight and regulatory reporting.
- Monitor emerging technologies to identify opportunities for improved compliance and supervisory capabilities.
- Support regulatory, legal, and audit inquiries by gathering and providing relevant information.
- Identify and implement new methods to detect and report potential compliance risks (e.g., sales trends, product concentrations, policy gaps).
- Serve as the primary KIS Compliance liaison for administrative and operational teams on technology-related matters.
- Represent KIS Compliance on firm-wide and enterprise-level technology project teams.
- Participate in special projects and initiatives as assigned.
REQUIRED QUALIFICATIONS
- Bachelor’s Degree in a business-related field or equivalent experience
- 5+ years of progressively responsible compliance, regulatory or investment industry experience
- 3+ years supervisory experience
- Prior experience leading surveillance strategy and control room operations, including eCommunications monitoring systems
- Solid knowledge of the securities, insurance and investment advisory industries, including SEC, FINRA and state insurance and investment advisory laws, rules and regulations
- Solid project management experience including ability to drive adoption of regulatory-driven platform changes through formal change management frameworks
- Solid knowledge of brokerage industry operations and service functions
- Strong written and verbal communication skills
- Demonstrated ability to problem solve and exhibit strong analytical skills
- Demonstrated ability to work in self-directed manner with good organizational skills
- Proven ability to foster open communication
COMPENSATION AND BENEFITS This position is eligible to earn a base salary in the range of $100,000 to $150,000 annually depending on location and job-related factors such as level of experience. Compensation for this role also includes eligibility for short-term incentive compensation and deferred incentive compensation subject to individual and company performance. Please click here for a list of benefits for which this position is eligible. Key has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment. Job Posting Expiration Date: 10/11/2025 KeyCorp is an Equal Opportunity Employer committed to sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status. Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing [email protected]. #LI-Remote Apply tot his job Apply To this Job