Investment Banking Associate at KeyBanc Capital Markets supports advisory and capital mandates. Collaborates with industry bankers and executes various analyses and presentations.
About the role
- Senior Compliance Advisor shaping compliance strategy for investment products in a fast-paced environment. Advising on regulatory expectations while fostering a culture of compliance.
Responsibilities
- Serve as the subject matter expert on Regulation Best Interest
- Develop and refine compliance processes for investment products
- Provide proactive guidance to senior leaders and product teams
- Conduct targeted testing and oversee internal audits
- Support regulatory exams and inquiries
Requirements
- Minimum of five years related work experience
- At least two years within a financial services compliance function
- Undergraduate degree or equivalent combination of training and experience
- Series 65 preferred
Benefits
- Hybrid working model
- Training initiatives to embed a culture of compliance
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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