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Location: 127 Public Square - Cleveland, Ohio 44114 The KBCM Ecomms Compliance Officer is a vital member of a team supporting a function, product or process which ensures Key follows all required rules and regulations. The Ecomms Compliance Officer is part of the second line of defense and is expected to conduct thorough analysis and resolve complex issues. Incumbent will have full ownership of one or more processes, reports, or procedures, and may be considered a subject matter expert on cross functional projects. This role will utilize multiple vendor solutions that enable the search, review, analysis, and export of electronic communication data for various analytic and reporting purposes. The incumbent will work closely with compliance teams, the line of business, and other support partners to perform appropriate surveillance, data analysis, and issue resolution as part of KBCM's electronic communications compliance program. ESSENTIAL JOB FUNCTIONS Act as a compliance risk control subject-matter expert for our ecomm communications policies Review ecomm communications, conduct analysis and identify suspicious activity as well as escalate cases for further review Partner with KBCM Compliance Directors and LOB stakeholders to identify potential misconduct/technical rule violations; provide input on issue disposition Assist with the design and development of monitoring reports Create and execute testing enhancements to the monitoring program Ecomm vendor management for multiple applications Ecomm Recon Surveillance Reports monitoring and escalation to resolution. Support senior staff in researching, responding, and reporting possible policy violations. REQUIRED QUALIFICATIONS Bachelor's degree; and/or experience in a financial services firm, regulatory organization, or legal/consulting firm. Working knowledge of securities industry regulations, specifically federal and state requirements Strong research and analytical skills Strong written and verbal communication skills Must be a self-starter, flexible, innovative and adaptable Demonstrated interpersonal skills with the ability to work collaboratively (team player a must) and with people at all levels of the organization Adaptable to change and willing to work in a fast paced environment with a positive attitude Have an inquisitive mind and willingness to learn new areas of reporting COMPETENCIES/SKILLS Critical Thinking / Problem Solving: Leverages critical thinking and business acumen; ties work with understanding of impacts / intersections with other business partners / LOB. Thoroughly vets and thinks through options before making a decision. Communication: Strong written and verbal communication skills; organizes material for brevity, persuasiveness, and impact. Effectively communicates key points to respective stakeholders, with the right amount of detail. Proactively shares information beyond those at the table who may have a need to know; comfortable in situations where conflict is present. Partnering / Influencing: Proven relationship building ability; strong interpersonal skills. Business Acumen: Understands assigned LOB strategy, possesses intellectual curiosity. Understands key drivers of financial results and business impact; developing understanding of how business works. PREFERRED QUALIFICATIONS Experience with a Broker Dealer or FINRA Proficiency in Bloomberg Vault or other ecomm retention platforms Experience with complex databases Experience with surveillance analysis Proficiency in following technological domains and programming languages- Microsoft Excel / PowerPoint / Access Business Intelligence tools such as Tableau or Power BI Databases - common relational database environments - Microsoft SQL Server, Oracle, PostgreSQL, MySQL, etc Data modeling and data engineering experience SQL query writing