Voya Financial
Sr Compliance Analyst - Wealth Management
Voya Financial, Minneapolis, Minnesota, United States, 55400
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. The Sr. Compliance Analyst will lead or partner with others in executing on the following activities to ensure compliance with laws and regulations: 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 annual base salary range for this position is $80,000 - $100,000. What We Offer: 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 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.
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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. The Sr. Compliance Analyst will lead or partner with others in executing on the following activities to ensure compliance with laws and regulations: 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 annual base salary range for this position is $80,000 - $100,000. What We Offer: 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 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.
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