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Hybrid Senior Compliance Analyst – Wealth Management

at Voya Financial
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Posted last month

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About the role

  • Provide day-to-day administration and coordination of the Conflicts of Interest ("COI") program for VFA.
  • Coordinate meetings and act as the secretary for the COI committee.
  • Interpret policies and procedures for field and business partners to assist in resolving conflicts.
  • Coordinate the broker-dealer and investment advisor training program, through identification of training opportunities and maintenance of supportive materials and documents.
  • Provide guidance and/or training to other colleagues in the Compliance area.
  • Participate in supporting the development, design, and execution of the annual FINRA 3120 testing program.
  • Conduct in-depth analysis and research of complex compliance related issues and drive results/decisions to implement necessary resolution
  • Recommend new policies and procedures.
  • Provide direction and support to business partners on compliance policies and procedures.
  • Maintain related internal compliance materials, such as standard operating procedures and job aids, for areas of responsibility.
  • Participate in business and compliance related projects, surface issues and report back to senior management.
  • Continually identify potential key compliance risks for reporting to compliance management.

Requirements

  • Bachelor's Degree or equivalent experience
  • Five to seven years’ relevant experience in financial services compliance or related/relevant industry experience
  • Requires FINRA Series 7 , with willingness to pursue additional licensure; a FINRA Series 24 license is a plus
  • Strong knowledge and understanding of annuity products, securities, and investment advisory products
  • Ability to make independent assessments and present thoughtful, risk-based decisions with limited support
  • Ability to provide strategic leadership and vision with a focus on continually evolving the compliance framework
  • Proven ability to prioritize assignments and maintain and/or exceed established processing time frames with limited supervision
  • Demonstrated ability to work across business lines and/or departments for continuous improvement opportunities and to develop and implement risk mitigation activities
  • Ability to learn from mistakes and apply learnings to future situations

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

Job title

Senior Compliance Analyst – Wealth Management

Job type

Full Time

Experience level

Senior

Salary

$80,000 - $100,000 per year

Degree requirement

Bachelor's Degree

Location requirements

HybridUnited States

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