Voya Financial
SVP, Sales, Operations & Compliance, Wealth Management
Voya Financial, Boston, Massachusetts, us, 02298
SVP, Sales, Operations & Compliance, Wealth Management
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SVP, Sales, Operations & Compliance, Wealth Management
role at
Voya Financial
Purpose & Culture Together we fight for everyone’s opportunity for a better financial future. Voya believes in bold action, a work environment where differences are valued, and a culture that brings our whole selves to work to serve clients and enrich communities.
Profile Summary The SVP, Sales Operations and Compliance Liaison leads operational excellence and compliance for the Retail Wealth Management Advisors team, ensuring efficient sales processes, regulatory adherence, and growth-focused initiatives.
Responsibilities
Oversee, enhance, and drive sales operations processes to optimize efficiency, productivity, and customer satisfaction.
Collaborate with sales leaders to develop and implement sales strategies that align with organizational goals.
Monitor sales performance metrics, analyze trends, and provide actionable insights to drive continuous improvement and business growth.
Serve as the primary point of contact between the sales team and compliance departments, ensuring clear communication and understanding of regulatory requirements.
Develop and implement compliance training programs for sales personnel to promote awareness and adherence to policies and regulations.
Conduct regular compliance audits and assessments to identify risks and ensure alignment with industry standards and best practices.
Qualifications
Bachelor’s degree in Business, Finance, or a related field; advanced degree preferred.
7+ years of experience in sales operations, compliance, or related fields within the financial services industry, with a focus on retail wealth management.
5+ years management experience in a RWM sales operations role.
Strong understanding of regulatory frameworks affecting wealth management and financial advisory services; FINRA licenses required.
Proven leadership skills with the ability to develop, motivate, and manage teams effectively.
Excellent analytical, problem‑solving, and decision‑making skills.
Exceptional communication and interpersonal skills, with the ability to build relationships and influence across all levels of the organization.
Compensation & Pay Disclosure The annual base salary range reflects the expected hiring range for this position in the listed location(s). In addition to base salary, Voya offers incentive opportunities based on the role to reward the achievement of annual performance objectives. Annual base salary range: $225,000 – 300,000 USD.
Benefits
Health, dental, vision, and life insurance plans
401(k) Savings plan – generous company matching contributions (up to 6%)
Voya Retirement Plan – employer paid cash balance retirement plan (4%)
Tuition reimbursement up to $5,250 per year
Paid time off – 20 days paid time off, nine paid company holidays, and a flexible Diversity Celebration Day
Paid volunteer time – 40 hours per calendar year
Critical Skills
Customer Focused – Passionate drive to delight customers and offer unique solutions that deliver on expectations.
Critical Thinking – Thoughtful process of analyzing data and problem solving to reach well‑reasoned solutions.
Team Mentality – Partnering effectively to drive culture and execute on common goals.
Business Acumen – Appreciation and understanding of the financial services industry to make sound business decisions.
Learning Agility – Openness to new ways of thinking and acquiring new skills to retain a competitive advantage.
Equal Employment Opportunity Voya Financial is an equal‑opportunity employer. Voya Financial provides equal opportunity to qualified individuals regardless of race, color, sex, national origin, citizenship status, religion, age, disability, veteran status, creed, marital status, sexual orientation, gender identity, genetic information, or any other status protected by state or local law.
Reasonable Accommodations Voya is committed to the inclusion of all qualified individuals. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please reference resources for applicants with disabilities.
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SVP, Sales, Operations & Compliance, Wealth Management
role at
Voya Financial
Purpose & Culture Together we fight for everyone’s opportunity for a better financial future. Voya believes in bold action, a work environment where differences are valued, and a culture that brings our whole selves to work to serve clients and enrich communities.
Profile Summary The SVP, Sales Operations and Compliance Liaison leads operational excellence and compliance for the Retail Wealth Management Advisors team, ensuring efficient sales processes, regulatory adherence, and growth-focused initiatives.
Responsibilities
Oversee, enhance, and drive sales operations processes to optimize efficiency, productivity, and customer satisfaction.
Collaborate with sales leaders to develop and implement sales strategies that align with organizational goals.
Monitor sales performance metrics, analyze trends, and provide actionable insights to drive continuous improvement and business growth.
Serve as the primary point of contact between the sales team and compliance departments, ensuring clear communication and understanding of regulatory requirements.
Develop and implement compliance training programs for sales personnel to promote awareness and adherence to policies and regulations.
Conduct regular compliance audits and assessments to identify risks and ensure alignment with industry standards and best practices.
Qualifications
Bachelor’s degree in Business, Finance, or a related field; advanced degree preferred.
7+ years of experience in sales operations, compliance, or related fields within the financial services industry, with a focus on retail wealth management.
5+ years management experience in a RWM sales operations role.
Strong understanding of regulatory frameworks affecting wealth management and financial advisory services; FINRA licenses required.
Proven leadership skills with the ability to develop, motivate, and manage teams effectively.
Excellent analytical, problem‑solving, and decision‑making skills.
Exceptional communication and interpersonal skills, with the ability to build relationships and influence across all levels of the organization.
Compensation & Pay Disclosure The annual base salary range reflects the expected hiring range for this position in the listed location(s). In addition to base salary, Voya offers incentive opportunities based on the role to reward the achievement of annual performance objectives. Annual base salary range: $225,000 – 300,000 USD.
Benefits
Health, dental, vision, and life insurance plans
401(k) Savings plan – generous company matching contributions (up to 6%)
Voya Retirement Plan – employer paid cash balance retirement plan (4%)
Tuition reimbursement up to $5,250 per year
Paid time off – 20 days paid time off, nine paid company holidays, and a flexible Diversity Celebration Day
Paid volunteer time – 40 hours per calendar year
Critical Skills
Customer Focused – Passionate drive to delight customers and offer unique solutions that deliver on expectations.
Critical Thinking – Thoughtful process of analyzing data and problem solving to reach well‑reasoned solutions.
Team Mentality – Partnering effectively to drive culture and execute on common goals.
Business Acumen – Appreciation and understanding of the financial services industry to make sound business decisions.
Learning Agility – Openness to new ways of thinking and acquiring new skills to retain a competitive advantage.
Equal Employment Opportunity Voya Financial is an equal‑opportunity employer. Voya Financial provides equal opportunity to qualified individuals regardless of race, color, sex, national origin, citizenship status, religion, age, disability, veteran status, creed, marital status, sexual orientation, gender identity, genetic information, or any other status protected by state or local law.
Reasonable Accommodations Voya is committed to the inclusion of all qualified individuals. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please reference resources for applicants with disabilities.
#J-18808-Ljbffr