Portfolio Compliance Analyst

Compliance Analyst

The Compliance Analyst supports the Wealth Management Fiduciary Risk & Compliance team in overseeing fiduciary investment management activities. The role ensures adherence to OCC regulations, internal policies, and fiduciary standards, while also serving as a Compliance Administrator for the investment management trading system. This hybrid role offers exposure to both compliance oversight and investment technology.

Responsibilities

• Administer investment management compliance in trading system : build, test, and maintain compliance rules; monitor alerts and violations; resolve exceptions.
• Monitor fiduciary investment activity for compliance with OCC regulations and fiduciary principles.
• Track and escalate compliance issues using scorecards.
• Prepare committee materials, governance reports, and audit / exam responses.
• Support development of policies and procedures aligned with OCC expectations.
• Collaborate with portfolio managers, risk, and audit teams to resolve issues.
• Participate in system enhancement and compliance improvement projects.
• Perform other duties as assigned in accordance with KeyBank policies and procedures.

Education Qualifications

Experience Qualifications

Tactical Skills

KeyCorp is an Equal Opportunity Employer committed to 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.

Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing HR_Compliance@keybank.com.