KeyBanc Capital Markets, FINRA Registration Specialist

Location:

The KBCM FINRA Registration Specialist is responsible for the ongoing implementation, execution, and future design of KBCM processes underpinning the Registration Department. This position will work in strong partnership with subject matter experts within KBCM Compliance.

Responsibilities include but are not limited to the following KBCM Registration responsibilities: 

• Onboarding
• Continuing Education
• Blue Sheets, BlueSky
• Monthly Supervisory Reports
• U4 & U5 Submissions
• CRD Reports
• Annual Attestations
• Documentation and follow up of KBCM Registration components
• Creation and updating desk procedures
• System testing
• Development of action plan for new or revised rules and laws
• Other miscellaneous responsibilities as directed by your manager

Essential Job Functions:

• Subject matter expert in KBCM Registration systems and validation
• Training responsibilities for new employees in FINRA Registration
• OnBoarding execution & decision employee policy for OnBoarding
• FINRA U4 and U5  Processing and Validation - Support the execution of and enhancements to the KBCM Registration Department’s processes and procedures including the verification of all On-Boarding requirements are met including fingerprinting, pre-hire regulatory checks and paperwork completion.
• Desk procedures documentation used in the Registration Department and amend them when appropriate with management review
• Organize and prioritize multiple ongoing competing tasks and projects.
• Support the KBCM Compliance team and lines of businesses in registration matters when needed.
• Develop and maintain working relationships with internal clients, staff and peers.
• Other KBCM Registration duties and provide support on projects as assigned.
• Ensure relevant compliance issues are documented, monitored and escalated, as needed.

Required Qualifications:

• High school degree and equivalent experience within our industry or college degree.
• 2-4 years of compliance, regulatory, investment or insurance industry support experience (or other relevant work experience)
• Working knowledge of securities and insurance industry regulations, specifically federal and state registration and licensing requirements
• Working knowledge of Broker Dealer Registration platforms/program registration/licensing structure and controls
• Comprehension of process mapping and execution
• Demonstrated ability to work in complex databases with strong computer skills
• Demonstrated ability to meet deadlines and exhibit strong time management skills
• Demonstrated ability to work in self-directed manner with good organizational skills
• Demonstrated ability to problem solve and exhibit strong analytical skills

COMPENSATION AND BENEFITS

This position is eligible to earn a base hourly rate in the range of $26.00 to $29.00 per hour depending on location and job-related factors such as level of experience. Compensation for this role also includes short-term 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 role-based 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 Home-based, which means you may work primarily either at a home office or in a Key facility to perform your job duties.

KeyCorp is an Equal Opportunity and Affirmative Action Employer committed to building a diverse, equitable and inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or other protected category.

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 HR_Compliance@keybank.com.

#LI-Remote