Senior Central Supervision Principal-1
Senior Central Supervision Principal-1
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$ 84000 - 92000
1 Vacancy
Job Description
Location:
4900 Tiedeman Road Brooklyn OhioABOUT THE JOB:
The Central Supervision Group (CSG) represents the Office of Supervisory Jurisdiction for Key Investment Services LLC. The Senior AssociateCentral Supervision Principal reports to the Head of CSG and serves as the Designated Principal for a group of KIS registered representatives on behalf of the bank channel brokerdealer. The Central Supervision Principal is responsible for the principal supervision and surveillance of all bank brokerage advisory and insurance sales activities. This includes but is not limited to new account opening investment and insurance suitability review financial planning oversight customer complaint research and resolution periodic reporting audit responses sales trend identification reporting and oversight. Through collaboration with the KIS Sales Leaders the Senior AssociateCentral Supervision Principal acts as a virtual member of the territories he/she supports actively communicating and participating in team events and meetings and ensuring firm policies and procedures are understood communicated and followed by KIS registered representatives.
Essential Job Functions:
Act as formally designated FINRA general principal in all regulatory capacities for activities of KIS registered representatives in assigned territory.
Develop and maintain an active and productive relationship with Sales Leaders and KIS registered representatives for corresponding territories including regular communication and participation in group events meetings and presentations.
Conduct supervisory principal review of all trading activity
Conduct supervisory principal review of all annuity & insurance contracts
Conduct supervisory principal review of advisory program selections and model changes
Perform oversight of financial plans generated by KIS registered representatives
Conduct periodic review of sales activity and exception reports working with KIS registered representatives on issue resolution.
Identify sales activity trends or patterns and work with the KIS registered representatives to resolve concerns or issues as necessary.
Perform reviews for all registered representatives on heightened supervision and/or special review
Review all customer complaints received for the territories he/she supports and work with KIS Compliance KIS registered representatives and Sales Leaders in a collaborative nature to resolve complaints.
Contact customers directly to research and resolve complaints as necessary.
Ensure electronic records of all client files are maintained in accordance with firm and regulatory guidelines.
Complete required monthly and quarterly certifications to KIS Compliance.
Assist and respond to internal and external audit reviews and information gathering requests.
Actively participate in training of KIS registered representatives.
Marginal or Peripheral Job Functions:
Conduct supervisory principal review of new accounts
Conduct supervisory principal review of email correspondence
Conduct supervisory principal review of customer correspondence
Required Qualifications:
Bachelors degree Business Administration preferred
Minimum of 5 years of experience in securities supervision/compliance activity within a brokerage or bankbased brokerage firm.
FINRA Series 7 63 & 65 (or 66 24 and 53 licenses
Health life variable insurance licenses for applicable states
Preferred Qualifications:
Strong knowledge of investment products including annuities and insurance. Ability to apply financial needs analysis and asset allocation concepts.
Strong knowledge of SEC & FINRA rules & regulations
Competencies / Skills
Excellent communication skills verbal and written. Confident public speaker.
Strong decisionmaking skills
Ability to work independently with good organizational skills.
Relationship building and maintenance skills. Demonstrated ability to collaborate effectively with multiple teams or partners.
Ability to prioritize and multitask. Demonstrated ability to meet deadlines and exhibit strong time management skills
Ability to effectively resolve conflicts with internal and external partners and/or clients.
Exhibits discretion and sensitivity as many situations are confidential
COMPENSATION AND BENEFITS
This position is eligible to earn a base salary in the range of $84000 to $92000 annually depending on location and jobrelated factors such as level of experience. Compensation for this role also includes eligibility for shortterm 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 a rolebased Mobile by Design approach to our employee workspaces dedicating space to those whose roles require specific workspaces while providing flexible options for roles which are less dependent on assigned workspaces and can be performed effectively in a mobile environment. As a result this role may be Mobile or Homebased which means you may work primarily either at a home office or in a Key facility to perform your job duties.
Job Posting Expiration Date: 06/01/2025 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
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Required Experience:
Senior IC
Employment Type
Full-Time
