Performing delegated supervisory activities, oversight, surveillance and exception reporting research and review, maintenance of branch-level supervisory books and records
Assisting managers as needed with assigned day to day compliance/oversight tasks and responsibilities to ensure branch office compliance with Firm policies as well as SEC, FINRA and state securities and insurance rules and regulations
Helping draft, revise and enforce new and existing policies and procedures and communicates branch-level policy to sales managers and registered representatives
Assist the OSJ Oversight Director with special projects as required
Requirements
Relevant compliance or securities related experience with a broker/dealer, investment adviser and/or financial services firm
Excellent writing, oral and analytical skills
FINRA Series 7 and 24 registrations required
Ability to work independently and meet strict deadlines
Strong knowledge of securities and insurance rules and regulations
Strong knowledge and expertise of retirement plans, products and concepts
Strong aptitude with retail brokerage and advisory platforms
Strong prioritization, organization and time management skills
Series 65 or 66 -IAR Designation highly desirable (must be obtained within 3 months)
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
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