Voya Financial
Sr Compliance Analyst - Wealth Management
Voya Financial, Atlanta, Georgia, United States, 30383
Sr Compliance Analyst - Wealth Management
Voya Financial is seeking a Sr. Compliance Analyst for Voya Financial Advisors (VFA), Voya’s retail Broker-Dealer and Registered Investment Advisor. The role will primarily focus on administering VFA’s conflicts of interest program, coordinating the evidence and efforts for the Firm’s training and education program, supporting the annual 3120 broker‑dealer testing program, as well as other compliance responsibilities.
Position Description
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.
Skills and Competencies
Proactive and practical attitude
Strong verbal and written communication skills
Curiosity about our business and industry
Agile and creative approach to problem solving
Collaborative team player
Growth mindset and ability to gain new areas of expertise
Knowledge & Experience
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
Compensation Pay Disclosure Voya is committed to pay that’s fair and equitable, which means comparable pay for comparable roles and responsibilities. The below annual base salary range reflects the expected hiring range(s) for this position in the location(s) listed. In addition to base salary, Voya offers incentive opportunities (i.e., annual cash incentives, sales incentives, and/or long‑term incentives) based on the role to reward the achievement of annual performance objectives. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Voya Financial is willing to pay at the time of this posting. Actual compensation offered may vary from the posted salary range based upon the candidate’s geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Salaries for part‑time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
Base salary: $80,000 - $100,000
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
Critical Skills
Customer Focused: Passionate drive to delight our customers and offer unique solutions that deliver on their expectations.
Critical Thinking: Thoughtful process of analyzing data and problem solving data to reach a well‑reasoned solution.
Team Mentality: Partnering effectively to drive our culture and execute on our common goals.
Business Acumen: Appreciation and understanding of the financial services industry in order 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. As part of this commitment, Voya will ensure that persons with disabilities are provided reasonable accommodations. 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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Position Description
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.
Skills and Competencies
Proactive and practical attitude
Strong verbal and written communication skills
Curiosity about our business and industry
Agile and creative approach to problem solving
Collaborative team player
Growth mindset and ability to gain new areas of expertise
Knowledge & Experience
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
Compensation Pay Disclosure Voya is committed to pay that’s fair and equitable, which means comparable pay for comparable roles and responsibilities. The below annual base salary range reflects the expected hiring range(s) for this position in the location(s) listed. In addition to base salary, Voya offers incentive opportunities (i.e., annual cash incentives, sales incentives, and/or long‑term incentives) based on the role to reward the achievement of annual performance objectives. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Voya Financial is willing to pay at the time of this posting. Actual compensation offered may vary from the posted salary range based upon the candidate’s geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Salaries for part‑time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
Base salary: $80,000 - $100,000
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
Critical Skills
Customer Focused: Passionate drive to delight our customers and offer unique solutions that deliver on their expectations.
Critical Thinking: Thoughtful process of analyzing data and problem solving data to reach a well‑reasoned solution.
Team Mentality: Partnering effectively to drive our culture and execute on our common goals.
Business Acumen: Appreciation and understanding of the financial services industry in order 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. As part of this commitment, Voya will ensure that persons with disabilities are provided reasonable accommodations. 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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