Assistant Property Manager assisting in property management at Prescott Station Apartments. Responsible for compliance, leasing, resident services, and operational support within a dynamic team.
About the role
- Broker Dealer Oversight Manager at Voya overseeing broker-dealer compliance, WSP management, and process improvement initiatives in financial services. Engaging cross-functional teams to drive operational excellence.
Responsibilities
- Own the full lifecycle of WSPs: drafting, updating, version control, and publishing.
- Translate FINRA, SEC, and MSRB regulations into practical, actionable procedures.
- Maintain a centralized repository for policies and procedures with strong governance.
- Monitor regulatory changes and assess impacts on supervisory procedures.
- Lead implementation plans for updates across advisory, brokerage, alternatives, and annuities.
- Act as program manager for compliance initiatives, ensuring timely delivery and stakeholder alignment.
- Map current-state processes and identify gaps or inefficiencies.
- Apply Lean/Six Sigma principles to redesign workflows and reduce risk.
- Partner with Technology to implement automation and digital solutions.
- Coordinate control testing routines and remediation plans.
- Prepare documentation and evidence for regulatory exams and audits.
- Develop clear SOPs and job aids aligned with WSPs.
- Support training and adoption across home office and field teams.
Requirements
- Bachelor’s degree required; advanced degree preferred.
- FINRA Series 7 and 24 required (must be active).
- 5+ years in broker-dealer compliance, supervision, or operations.
- Strong knowledge of advisory, brokerage, alternatives, and annuity products.
- Proven experience managing WSPs and regulatory change initiatives.
- Deep understanding of FINRA/SEC rules, Reg BI, AML/BSA, books & records.
- Process improvement expertise (Lean/Six Sigma preferred).
- Excellent documentation, project management, and stakeholder communication skills.
Benefits
- Health, dental, vision and life insurance plans
- 401(k) Savings plan – with generous company matching contributions (up to 6%)
- Voya Retirement Plan – employer paid cash balance retirement plan (4%)
- Tuition reimbursement up to $5,250/year
- Paid time off – including 20 days paid time off, nine paid company holidays and a flexible Diversity Celebration Day.
- Paid volunteer time — 40 hours per calendar year
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