Principal Review Rep, Sr, KIS Job in Brooklyn, Ohio US
Principal Review Rep, Sr, KIS
About the Job Responsible for supervisory principal review of delegated responsibilities for Key Investment Services LLC (bank channel broker-dealer). The Principal Review Desk provides a centralized location for daily review of the bank brokerage sales activities including but not limited to new account opening, trade review, annuity/insurance review and surveillance functionality. The Senior Principal Review Representative works closely with the Principal Review Manager, Principal Review Representative, Financial Advisors, Sales Managers, Compliance, various operational groups/representatives and internal/external auditors. Essential Job Functions Conduct supervisory principal review of new accounts. Conduct supervisory principal review of trading activity. Conduct supervisory principal review of annuities. Conduct supervisory principal review of insurance contracts. Meet minimum email review requirements for assigned employees under your review. Review and assist in issue escalation and resolution process with OSJ Managers, Financial Advisors, Relationship Managers and field support. Assist in audit (internal/external) reviews, information gathering and various levels of research. Work closely with Principal Review Manager and Principal Review Representatives on various projects and issues for the department and firm. Required Qualifications Bachelor¿s degree ¿ business administration preferred. 3+ years experience in securities supervisory/compliance activity within a brokerage or bank based brokerage firm. Financial Industry Regulatory Authority (FINRA) Series 7 (general securities), 24 (general principal), 63 and 65 or 66 (investment advisory) and 53 (municipal principal) licenses. Health-life-variable insurance licenses for applicable state(s). Careers at Key KeyCorp is an Equal Opportunity Employer M/F/D/V