Senior Compliance Analyst

Voya FinancialMinneapolis, MN, US

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Compliance Support Specialist

Together we fight for everyone's opportunity for a better financial future. We will do this together with customers, partners and colleagues. We will fight for others, not against : We will stand up for and champion everyone's access to opportunities. The status quo is not good enough we believe every individual and every community deserves access to financial opportunities. We are determined to support both individuals and communities in reaching a better financial future. We know that reaching this future depends on our actions today.

Like our Purpose Statement, Voya believes in being bold and committed to action. We are committed to a work environment where the differences that we are born with and those we acquire throughout our lives are understood, valued and intentionally pursued. We believe that our employees own our culture and have a responsibility to foster an environment where we all feel comfortable bringing our whole selves to work. Purposefully bringing our differences together to positively influence our culture, serve our clients and enrich our communities is essential to our vision.

Are you ready to join a company with a strong purpose and a winning culture? Start your Voyage Apply Now

Position Summary :

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.

Position Description :

Involved in most if not all of the following activities to ensure compliance with laws and regulations :

Address compliance inquiries from field OSJ Managers, their staff and Supervisory Consultants providing answers and solutions that are based on broker dealer and RIA policies and procedures.
Effectively communicate regulatory and procedural changes and / or important issues to affected business unit(s), the field OSJ managers, their staff and the Supervisory Consultants.
Build strong relationships with business partners, including other members within the Compliance Department, Supervisory Consultants, OSJ Managers and their staff.
Partner with Field OSJs and RRs to ensure compliance with broker dealer and RIA policies and procedures.
Review completed audits and inspections; where findings are noted, determine adequacy of responses discussing compliance concerns or potential violations with OSJ Managers, their Supervisory Consultants and financial professionals, as needed.
Work with OSJ Managers in developing Heightened Supervision plans as situations arise and monitor active plans to ensure that required activities are being completed and documented.
Present potential disciplinary cases to the Field Resolution Committee and deliver agreed upon disciplinary documentation to the OSJ Manager of the financial professional being disciplined.
Conduct surveillance testing (daily, monthly, quarterly) applicable to broker dealer and investment advisory activities, reporting any identified issues to Compliance management and Operations, as applicable.
Assist management by ensuring that the Surveillance program continues to meet the needs of the broker / dealer and RIA; Determine the need for new surveillance testing and engage in the development of testing procedures
Correspond with customers and appropriate government agencies. This may include insurance departments, SEC, or FINRA.
Maintain internal compliance materials such standard operating procedures and job aids.
Monitor and review business transactions for suspicious activity, red flags, fraud, and / or other questionable behavior.
Participate in business and compliance related projects, surface issues and report back to management on topics related to projects.
Continual awareness of activities in purview to identify potential key compliance risks for reporting to compliance management.

Other duties as assigned. May also be responsible for :

Build relationships with business partners.

Strives for consistency and timeliness of assigned tasks, projects, etc. on an ongoing basis.

Demonstrate teamwork and be a team player by : supporting and encouraging peers as opportunities present themselves, participating in meetings, being available and approachable, displaying a positive attitude, setting a good example, and adhering to Voya's corporate policies and procedures.

Effectively communicate, establish partnerships and provide support to internal business partners, (e.g. Supervisory Consultants, Licensing, and members of the other areas of Compliance.

Knowledge & Experience :

Bachelor's Degree or equivalent experience.

Minimum 5 years relevant experience in compliance or related / relevant industry experience.

Required FINRA registrations S7 & S24

Solid knowledge and understanding of annuity products, securities and investment advisory products.

Strong verbal and written communication skills, and strong interpersonal skills.

Proven ability to manage high volumes under tight deadlines while maintaining accuracy and minimizing risk to the company.

Proven ability to prioritize assignments and maintain and / or exceed established processing time frames with limited supervision.

Demonstrated and proven ability to work across business lines and / or departments for continuous improvement opportunities and to develop and implement risk mitigation activities.

Takes ownership for issues throughout the resolution process. Gathers necessary information to assess each situation. Confirms next steps and deadlines to ensure consistent follow through and follow up as needed; keep customers informed of progress.

Takes responsibility for errors and applies new knowledge to future situations.

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. 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.

$60,450 - $100,760 USD

Voya provides the resources that can make a difference in your lives. To us, this means thriving physically, financially, socially and emotionally. Voya benefits are designed to help you do just that. That's why we offer an array of plans, programs, tools and resources with one goal in mind : To help you and your family be well and stay well.

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

At Voya, we have identified the following critical skills which are key to success in our culture :

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.

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.

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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Compliance Analyst • Minneapolis, MN, US