• Key Bank
  • New York , NY
  • Miscellaneous
  • Full-Time
  • 354 W 31st St

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ABOUT THE JOB (JOB BRIEF):
The KIS Office of Supervisory Jurisdiction (OSJ) Assistant Principal provides highly accurate, timely and intensive investment services surveillance support, involving duties of considerable complexity, most often confidential in nature to the OSJ Sales Manager.

ESSENTIAL JOB FUNCTIONS:
Assistant Principal provides highly accurate, timely and intensive investment and surveillance support, involving duties of considerable complexity, most often confidential in nature. The Assistant Principal is responsible for the supervisory review of delegated responsibilitiesfrom the OSJ Sales Manager. The Assistant Principal works closely with Compliance, Principal Review Representatives, and other departments on various projects and issues for the district and firm. Prepares detailed client meeting presentation materials including creating graphs and charts, compiling data such as performance information, with emphasis on accuracy and timeliness. Obtains and compiles information from a variety of internal/external sources and systems. Interacts in a highly professional manner with all internal and external clients and gathers information and has strong follow-up to ensure timely completion of pending items and projects. Duties will expand and evolve with changing job requirements, thus requiring adaptability and flexibility.

Primary functions/duties include:
Conduct supervisory principal review and sign off on all incoming correspondence including fax, email, etc.
Conduct supervisory principal review, pre-approval and sign off on all outgoing correspondence including fax, email, etc.
Conduct supervisory principal review of all written complaints received and forward to the Compliance Department and OSJ Manager for processing.
Conduct supervisory principal review and approval of trade adjustments and error corrections. Contact registered reps as needed to review sales practices. Report any concerns to OSJ Manager.
Conduct OSJ branch audits of FA hub locations and any follow-up visits to validate completion of all required corrective actions for OSJ and Compliance branch audits.
Conduct supervisory principal review of external e-mails through AXS-ONE.
Conduct supervisory principal review and respond to State Registration and Blue Sky e-mails from Compliance.
Conduct supervisory principal review, approval, and sign off on Advertising Request forms.
Conduct supervisory principal review, approval, and sign off on Speaking Engagements and Seminars.
Issue Activity Letters to clients.
Conduct supervisory principal review, approval, and sign off on LOAs.
Conduct supervisory principal review of Employee Trading report in accordance with the OSJ Manager Supervisory Manual. Contact registered reps as needed to review sales practices. Report any concerns to Manager. Certify review completion and present to OSJ Manager for final review and signoff.
Conduct supervisory principal review of Trade History Report in accordance with the OSJ Manager Supervisory Manual. Contact registered reps as needed to review sales practices. Report any concerns to Manager. Certify review completion and present to OSJ Manager for final review and signoff.
Conduct supervisory principal review of Branch Exception report in accordance with the OSJ Manager Supervisory Manual. Contact registered reps as needed to review sales practices. Report any concerns to Manager. Certify review completion and present to OSJ Manager for final review and signoff.
Conduct supervisory principal review of Annuity report, and VA Exchange report in accordance with the OSJ Manager Supervisory Manual. Contact registered reps as needed to review sales practices. Report any concerns to OSJ Manager, certify review completion and present to OSJ Manager for final review and signoff.
Conduct supervisory principal review of C Share report in accordance with the OSJ Manager Supervisory Manual. Contact registered reps as needed to review sales practices. Report any concerns to Manager. Certify review completion and present to OSJ Manager for final review and signoff.
Conduct supervisory principal review of all pre-approved outside brokerage account statements and/or confirmations.

REQUIRED QUALIFICATIONS:
Bachelor s degree preferred, high school diploma required with equivalent work experience considered.
Required Licenses: FINRA Series 7, 24, 63, 65 or 66 and applicable state life and health insurance license.
3+ years experience in securities supervisory/compliance activity within a brokerage or bank based brokerage firm.
Must have strong organizational, verbal, written communication skills, including the ability to be comfortable working for and receiving instructions from several team members.
Strong proficiency in all Microsoft Office suite applications (Excel, Word, Outlook, etc.).
Ability to be flexible and work diplomatically in team environment and the ability to quickly assimilate and use other programs, processes and procedures with minimal to moderate instruction is necessary.
Highly organized individual with a penchant for strong judgement, accuracy, the capability to balance multiple priorities and the ability to perform at a high standard in a fast paced environment.



FLSA STATUS:Non-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.


* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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