Principal Review Rep, Sr, KIS in Brooklyn, OH at Key Bank- Corporate

Date Posted: 10/17/2019

Job Snapshot

  • Employee Type:
    Full-Time
  • Location:
    4900 Tiedeman Road
    Brooklyn, OH
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:
    10/17/2019

Job Description

ABOUT THE JOB (JOB BRIEF)

The Principal Review Desk Representative is responsible for the supervisory 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, annuity/insurance review, trade review, and surveillance functionality. The Principal Review Representative covers designated offices and works closely with the Principal Review Manager, other Principal Review Representatives, Financial Advisors and Sales Managers.

ESSENTIAL JOB FUNCTIONS

  • Conduct supervisory principal review of new accounts
  • Conduct supervisory principal review of all trading activity
  • Conduct supervisory principal review of all annuity/insurance contracts
  • Meet minimum email review requirements for assigned employees under your review
  • Review and assist in issue escalation and resolution process with OSJ (Sales) Managers, Financial Advisors and field support
  • Assist in audit (internal/external) reviews, information gathering and various levels of research
  • Work closely with other Principal Review Desk Representatives, PRD Manager, and other departments on various projects and issues for the department and firm.

REQUIRED QUALIFICATIONS

  • Bachelor’s degree preferred or its equivalent
  • 3+ years experience in securities supervisory/compliance activity within a brokerage or bank based brokerage firm
  • Financial Industry Regulatory Authority (FINRA) Series 7, 24, 53, 65 or 66 licenses
  • Health, Life, Variable Insurance licenses for applicable state(s)
  • Strong verbal and written communication skills
  • Demonstrated ability to work independently
  • 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

COMPETENCIES/SKILLS

Business Acumen – Knows how businesses work; knowledgeable in current and possible future policies, practices, trends, and information affecting his/her business and organization; knows the competition; is aware of how strategies and tactics work in the marketplace.

Drives for Results - Can be counted on to exceed goals successfully; is consistently a solid performer, is very bottom line oriented; steadfastly pushes self and others for results; demonstrates personal accountability for achieving results within established timelines and budget parameters; pursues work with energy, drive and focus.

Effective Collaboration - Identifies and involves the right stakeholders to make decisions and maximize results; readily shares information, knowledge, best practices, and ideas with teammates; leverages opportunities and capabilities across the team to accomplish goals; attentive and active listener; has the patience to hear people out; can accurately restate the opinion of others even when he/she disagrees.

Informing - Provides the information people need to know to do their jobs and to feel good about being a member of the team, unit, and/or the organization; provides individuals information so that they can make accurate decisions; is timely with information.

Organizing - Can marshal resources (people, funding, material, support) to get things done; can orchestrate multiple activities at once to accomplish a goal; uses resources effectively and efficiently; arranges information and files in a useful manner.

WORK LOCATION

4900 Tiedeman Road, Brooklyn, Ohio 44144



FLSA STATUS:Exempt

KeyCorp is an Equal Opportunity and Affirmative Action Employer committed to engaging a diverse workforce and 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.

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