Voya Financial
Overview
Senior Compliance Analyst role at Voya Financial. Provides first level compliance support as part of a larger compliance program for a retail Broker-Dealer/Registered Investment Advisor, including surveillance testing and reporting, general compliance support to field and home office OSJs, and specific compliance functions such as handling disciplinary actions and monitoring audits and inspections. Responsibilities
Address compliance inquiries from field OSJ Managers, staff and Supervisory Consultants, providing answers and solutions based on broker-dealer and RIA policies and procedures. Communicate regulatory and procedural changes and important issues to affected business units, field OSJ managers, their staff and Supervisory Consultants. Build strong relationships with business partners, including Compliance Department colleagues, Supervisory Consultants, OSJ Managers and staff. Partner with Field OSJs and RRs to ensure compliance with broker-dealer and RIA policies and procedures. Review completed audits and inspections; discuss compliance concerns or potential violations with OSJ Managers, Supervisory Consultants and financial professionals as needed. Work with OSJ Managers in developing Heightened Supervision plans and monitor active plans to ensure activities are completed and documented. Present potential disciplinary cases to the Field Resolution Committee and deliver disciplinary documentation to the OSJ Manager of the professional being disciplined. Conduct surveillance testing (daily, monthly, quarterly) applicable to broker-dealer and investment advisory activities; report identified issues to Compliance management and Operations as applicable. Assist management by ensuring the Surveillance program meets the needs of the broker-dealer and RIA; determine the need for new surveillance testing and develop testing procedures. Correspond with customers and appropriate government agencies (e.g., insurance departments, SEC, FINRA). Maintain internal compliance materials such as standard operating procedures and job aids. Monitor and review business transactions for suspicious activity, red flags, fraud, and other questionable behavior. Participate in business and compliance-related projects, surface issues and report back to management on topics related to projects. Maintain continual awareness of activities within scope to identify potential key compliance risks for reporting to compliance management. Other Duties
Build relationships with business partners and strive for consistency and timeliness of assigned tasks and projects. Demonstrate teamwork by supporting peers, participating in meetings, being available and approachable, and adhering to Voya’s policies and procedures. Communicate effectively, establish partnerships and provide support to internal business partners (e.g., Supervisory Consultants, Licensing, and other areas of Compliance). Knowledge & Experience (Qualifications)
Bachelor's Degree or equivalent experience. Minimum 5 years of relevant experience in compliance or related industry experience. FINRA registrations S7 & S24 required. Solid knowledge of annuity products, securities and investment advisory products. Strong verbal and written communication skills and strong interpersonal skills. Ability to manage high volumes under tight deadlines while maintaining accuracy and minimizing risk. Ability to prioritize assignments and meet processing timeframes with limited supervision. Ability to work across business lines for continuous improvement and risk mitigation activities. Ownership of issues throughout the resolution process; gather necessary information, confirm next steps and deadlines, and keep customers informed of progress. Take responsibility for errors and apply new knowledge to future situations. Compensation
Annual base salary range: $60,450 - $100,760 USD. Compensation may vary based on location, experience, education, licensure, and skill level. Salaries for part-time roles will be prorated. Voya offers incentive opportunities based on role. Benefits
Health, dental, vision and life insurance plans 401(k) plan with 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 – 20 days vacation, 9 holidays and a Diversity Celebration Day Paid volunteer time — 40 hours per calendar year Learn More About Voya Benefits
Voya provides resources to help you be well in physical, financial, social and emotional aspects of life, with plans and tools designed to support you and your family. Critical Skills
Customer Focused: Delight customers and offer solutions that meet expectations. Critical Thinking: Analyze data and problem-solve to reach well-reasoned solutions. Team Mentality: Partner to drive culture and achieve goals. Business Acumen: Understand the financial services industry to make sound decisions. Learning Agility: Be open to new ideas and skills to stay competitive. Equal Employment Opportunity
Voya Financial is an equal-opportunity employer. It provides equal opportunity to qualified individuals regardless of race, color, sex, national origin, citizenship status, religion, age, disability, veteran status, marital status, sexual orientation, gender identity, genetic information, or any other status protected by law. Reasonable Accommodations
Voya is committed to inclusion and will provide reasonable accommodations to applicants with disabilities; please reference resources for applicants with disabilities if needed.
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Senior Compliance Analyst role at Voya Financial. Provides first level compliance support as part of a larger compliance program for a retail Broker-Dealer/Registered Investment Advisor, including surveillance testing and reporting, general compliance support to field and home office OSJs, and specific compliance functions such as handling disciplinary actions and monitoring audits and inspections. Responsibilities
Address compliance inquiries from field OSJ Managers, staff and Supervisory Consultants, providing answers and solutions based on broker-dealer and RIA policies and procedures. Communicate regulatory and procedural changes and important issues to affected business units, field OSJ managers, their staff and Supervisory Consultants. Build strong relationships with business partners, including Compliance Department colleagues, Supervisory Consultants, OSJ Managers and staff. Partner with Field OSJs and RRs to ensure compliance with broker-dealer and RIA policies and procedures. Review completed audits and inspections; discuss compliance concerns or potential violations with OSJ Managers, Supervisory Consultants and financial professionals as needed. Work with OSJ Managers in developing Heightened Supervision plans and monitor active plans to ensure activities are completed and documented. Present potential disciplinary cases to the Field Resolution Committee and deliver disciplinary documentation to the OSJ Manager of the professional being disciplined. Conduct surveillance testing (daily, monthly, quarterly) applicable to broker-dealer and investment advisory activities; report identified issues to Compliance management and Operations as applicable. Assist management by ensuring the Surveillance program meets the needs of the broker-dealer and RIA; determine the need for new surveillance testing and develop testing procedures. Correspond with customers and appropriate government agencies (e.g., insurance departments, SEC, FINRA). Maintain internal compliance materials such as standard operating procedures and job aids. Monitor and review business transactions for suspicious activity, red flags, fraud, and other questionable behavior. Participate in business and compliance-related projects, surface issues and report back to management on topics related to projects. Maintain continual awareness of activities within scope to identify potential key compliance risks for reporting to compliance management. Other Duties
Build relationships with business partners and strive for consistency and timeliness of assigned tasks and projects. Demonstrate teamwork by supporting peers, participating in meetings, being available and approachable, and adhering to Voya’s policies and procedures. Communicate effectively, establish partnerships and provide support to internal business partners (e.g., Supervisory Consultants, Licensing, and other areas of Compliance). Knowledge & Experience (Qualifications)
Bachelor's Degree or equivalent experience. Minimum 5 years of relevant experience in compliance or related industry experience. FINRA registrations S7 & S24 required. Solid knowledge of annuity products, securities and investment advisory products. Strong verbal and written communication skills and strong interpersonal skills. Ability to manage high volumes under tight deadlines while maintaining accuracy and minimizing risk. Ability to prioritize assignments and meet processing timeframes with limited supervision. Ability to work across business lines for continuous improvement and risk mitigation activities. Ownership of issues throughout the resolution process; gather necessary information, confirm next steps and deadlines, and keep customers informed of progress. Take responsibility for errors and apply new knowledge to future situations. Compensation
Annual base salary range: $60,450 - $100,760 USD. Compensation may vary based on location, experience, education, licensure, and skill level. Salaries for part-time roles will be prorated. Voya offers incentive opportunities based on role. Benefits
Health, dental, vision and life insurance plans 401(k) plan with 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 – 20 days vacation, 9 holidays and a Diversity Celebration Day Paid volunteer time — 40 hours per calendar year Learn More About Voya Benefits
Voya provides resources to help you be well in physical, financial, social and emotional aspects of life, with plans and tools designed to support you and your family. Critical Skills
Customer Focused: Delight customers and offer solutions that meet expectations. Critical Thinking: Analyze data and problem-solve to reach well-reasoned solutions. Team Mentality: Partner to drive culture and achieve goals. Business Acumen: Understand the financial services industry to make sound decisions. Learning Agility: Be open to new ideas and skills to stay competitive. Equal Employment Opportunity
Voya Financial is an equal-opportunity employer. It provides equal opportunity to qualified individuals regardless of race, color, sex, national origin, citizenship status, religion, age, disability, veteran status, marital status, sexual orientation, gender identity, genetic information, or any other status protected by law. Reasonable Accommodations
Voya is committed to inclusion and will provide reasonable accommodations to applicants with disabilities; please reference resources for applicants with disabilities if needed.
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