Senior Supervision Principal - Complaints Analyst

KeyBank · Brooklyn · $69,000–$105,000 (stated in the posting)

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Job Summary

The Senior Supervision Principal – Complaints Analyst is responsible for overseeing and managing the customer complaint process within the first line of defense, ensuring timely, accurate, and compliant resolution of client concerns. This role serves as the firm’s key point of contact for complaint handling—partnering with business units to identify root causes, implement corrective actions, monitor trends, and maintain adherence to regulatory requirements, including FINRA Rule 4530 reporting.

In addition to leading complaint management, the Senior Supervision Principal – Complaints Analyst serves as a FINRA Designated Principal supporting the supervision and surveillance of brokerage, advisory, and insurance sales activities. This supervisory foundation strengthens the analyst’s ability to investigate complaints, evaluate underlying sales-practice concerns, and collaborate with Sales Leaders, registered representatives, and compliance partners. The role also provides guidance on complaint-management best practices, escalates significant issues to leadership, and supports continuous improvement initiatives that strengthen controls and enhance the client experience.

Essential Functions

Complaint Management (Primary Focus)

• Manage the end-to-end complaint resolution process within the first line of defense, ensuring timely and compliant handling of customer concerns, including direct client contact when necessary.

• Develop and maintain complaint-handling procedures aligned with regulatory requirements and internal standards.

• Analyze complaint trends and root causes to identify risk areas and recommend process improvements.

• Investigate complaints and evaluate underlying sales-practice concerns, collaborating with compliance teams and business partners to determine appropriate resolution and corrective action.

• Prepare and deliver reports on complaint metrics, trends, and risk indicators to management and governance committees, including FINRA 4530 reporting.

• Collaborate with internal stakeholders to ensure consistent and effective complaint management practices across business units.

• Provide guidance and training to team members and business partners on complaint-handling best practices.

• Escalate significant issues or regulatory risks identified through complaint analysis to appropriate leadership.

Supervisory Support

• Serve as the FINRA Designated Principal for assigned registered representatives.

• Supervise trading activity, annuity and insurance contracts, advisory program selections, and model changes, and review exception reports and heightened supervision cases.

• Review new account documentation, email correspondence, and client communications.

• Maintain electronic records of client files in accordance with regulatory guidelines.

• Complete monthly and quarterly certifications and respond to internal and external audit requests.

General

• Participate in special projects and stay current on regulatory changes and industry trends impacting complaint handling and supervision.

• Perform other duties as assigned; duties, responsibilities, and/or activities may change or new ones may be assigned at any time with or without notice.

• Comply with all KeyBank policies and procedures, including without limitation, acting professionally at all times, conducting business ethically, avoiding conflicts of interest, and acting in the best interests of Key’s clients and Key.

Education

• Bachelor’s Degree or equivalent experience (preferred).

Work Experience

• 5+ years of experience in compliance, risk management, auditing, securities supervision, or related fields—preferably within a brokerage or bank-based brokerage firm (required).

• Demonstrated ability to work independently and collaboratively in a regulatory environment (required).

Licenses and Certifications

• SIE, Series 7, 24, 66, and 53 or 9/10 (required).

• Life, Health, and Variable Annuity License (required).

Skills

• Skilled in investigating and resolving customer complaints, including direct client engagement in difficult situations and collaboration with compliance teams.

• Using analytical tools to interpret data and uncover complaint issues or trends.

• Understanding and applying laws and regulations relevant to banking, consumer finance, and securities, including SEC and FINRA rules governing complaint handling and supervision.

• Evaluating potential risks, identifying control gaps in processes and systems, and mitigating risks that could disrupt business operations.

• Applying sound judgment in evaluating complex complaint and compliance scenarios.

• Strong understanding of financial products offered on the platform, including annuities and insurance, and their suitability for various client needs.

• Building strong relationships across departments—with registered representatives, Sales Leaders, and internal partners—to support initiatives.

• Preparing and presenting reports and metrics, with excellent communication skills for meetings, governance committees, and training sessions.

• Experience responding to internal and external audits and completing required compliance certifications.

• Proficient in Microsoft Office applications and web-based compliance portals used for complaint management, supervision, reporting, and communication.

• Ability to manage multiple priorities, meet deadlines, and maintain accuracy under pressure.

• Staying current with regulatory changes and industry best practices and designing effective solutions to address challenges.

Core Competencies

• All KeyBank employees are expected to demonstrate Key’s Values and abide by Key’s Code of Conduct.

Physical Demands

• General Office – Prolonged sitting, ability to communicate face to face in person or on the phone with teammates and clients, frequent use of PC/laptop, occasional lifting/pushing/pulling of backpacks and computer bags up to 10 lbs.

Work Location Category

• Hybrid (3+ days).

COMPENSATION AND BENEFITS

Please click here for a list of benefits for which this position is eligible.

Key has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment.

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.

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