Sr. Principal Review Representative in Brooklyn, OH at Key Bank- Corporate

Date Posted: 3/7/2018

Job Snapshot

  • Employee Type:
  • Location:
    4900 Tiedeman Road
    Brooklyn, OH
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:
  • Job ID:

Job Description


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.


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.


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

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.


4900 Tiedeman Road, Brooklyn, Ohio 44144

KeyCorp's roots trace back 190 years to Albany, New York. Headquartered in Cleveland, Ohio, Key is one of the nation's largest bank-based financial services companies, with assets of approximately $134.5 billion at March 31, 2017. Key provides deposit, lending, cash management, insurance, and investment services to individuals and businesses in 15 states under the name KeyBank National Association through a network of more than 1,200 branches and more than 1,500 ATMs. Key also provides a broad range of sophisticated corporate and investment banking products, such as merger and acquisition advice, public and private debt and equity, syndications, and derivatives to middle market companies in selected industries throughout the United States under the KeyBanc Capital Markets trade name. KeyBank is Member FDIC.

Key Community Bank serves individuals and small to midsized businesses from Maine to Alaska through our 15-state network of over 1,200 branches, 1,500 ATMs, telephone banking and robust online and mobile platforms. KeyBank’s Consumer/Business Banking segment provides consumers and small business owners with straightforward banking solutions and personal finance expertise that helps them make confident financial decisions today and plan for tomorrow. Key Private Bank offers wealth planning that follows a consistent, disciplined approach guided by objective advice based on each unique situation. KeyBank Commercial Bank offers midsize business financial services that drive growth and profitability and help business owners identify new opportunities with products and services including deposit, cash management, investment services, commercial lending, equipment leasing, and asset-based lending.


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.

JobID: 27939BR