Voya Financial
Sr Compliance Analyst - Wealth Management
Voya Financial, Charleston, South Carolina, United States, 29408
Overview
Sr Compliance Analyst - Wealth Management Position summary and details are provided by the employer. This description includes responsibilities, qualifications, and compensation information related to the role. Responsibilities
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, identify training opportunities, and maintain supportive materials and documents. Provide guidance and/or training to other colleagues in the Compliance area. Support the development, design, and execution of the annual FINRA 3120 testing program. Conduct in-depth analysis and research of complex compliance 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. Participate in business and compliance projects, surface issues and report back to senior management. Continuously 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 the 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 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 evolving the compliance framework Proven ability to prioritize assignments and meet processing timeframes with limited supervision Demonstrated ability to work across business lines/departments for continuous improvement and to develop risk mitigation activities Ability to learn from mistakes and apply learnings to future situations Compensation
Voya is committed to pay thats fair and equitable, with a salary range of $80,000 - $100,000. The final offer depends on location, experience, licensure, and skills. Salaries for part-time roles will be prorated. Benefits
Health, dental, vision and life insurance plans 401(k) Savings plan with company matching (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 PTO, nine paid holidays, and a Diversity Celebration Day Paid volunteer time 40 hours per year Equal Employment Opportunity
Voya Financial is an equal-opportunity employer. We provide equal opportunity 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 protected status. Reasonable Accommodations
Voya is committed to inclusion and will provide reasonable accommodations for applicants with disabilities during the application or interview process and to perform essential job functions. Notes: This job posting appeared with other roles and generic branding; it includes sections that may reflect multiple job postings in one listing. #J-18808-Ljbffr
Sr Compliance Analyst - Wealth Management Position summary and details are provided by the employer. This description includes responsibilities, qualifications, and compensation information related to the role. Responsibilities
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, identify training opportunities, and maintain supportive materials and documents. Provide guidance and/or training to other colleagues in the Compliance area. Support the development, design, and execution of the annual FINRA 3120 testing program. Conduct in-depth analysis and research of complex compliance 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. Participate in business and compliance projects, surface issues and report back to senior management. Continuously 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 the 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 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 evolving the compliance framework Proven ability to prioritize assignments and meet processing timeframes with limited supervision Demonstrated ability to work across business lines/departments for continuous improvement and to develop risk mitigation activities Ability to learn from mistakes and apply learnings to future situations Compensation
Voya is committed to pay thats fair and equitable, with a salary range of $80,000 - $100,000. The final offer depends on location, experience, licensure, and skills. Salaries for part-time roles will be prorated. Benefits
Health, dental, vision and life insurance plans 401(k) Savings plan with company matching (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 PTO, nine paid holidays, and a Diversity Celebration Day Paid volunteer time 40 hours per year Equal Employment Opportunity
Voya Financial is an equal-opportunity employer. We provide equal opportunity 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 protected status. Reasonable Accommodations
Voya is committed to inclusion and will provide reasonable accommodations for applicants with disabilities during the application or interview process and to perform essential job functions. Notes: This job posting appeared with other roles and generic branding; it includes sections that may reflect multiple job postings in one listing. #J-18808-Ljbffr