Licensed (Series 7) Senior Compliance Analyst - Investment Advisory

Voya Financial, Inc.; United States; Remote; USD 73,000 - 93,000; Full time

Job summary

Join a purpose-driven company dedicated to financial empowerment as a Senior Compliance Analyst. In this role, you will oversee compliance frameworks, conduct regulatory inquiries, and support training programs. Your expertise will help ensure adherence to laws and regulations while fostering a collaborative work environment. This innovative firm values diversity and encourages a culture where every employee can thrive. If you are passionate about compliance and eager to make a significant impact, this opportunity is perfect for you.

Benefits

Health Insurance

Dental Insurance

Vision Insurance

401(k) with Company Match

Tuition Reimbursement

Paid Time Off

Paid Volunteer Time

Qualifications

• 5+ years in broker-dealer/investment advisory compliance.
• Strong knowledge of annuity products and securities.

Responsibilities

• Ensure compliance with laws and regulations.
• Provide guidance on advisory compliance fulfillment.
• Conduct in-depth analysis of compliance issues.

Skills

Compliance Knowledge

Verbal Communication

Written Communication

Problem Solving

Team Collaboration

Curiosity

Education

Bachelor's Degree

Job description

Licensed (Series 7) Senior Compliance Analyst - Investment Advisory page is loaded

Licensed (Series 7) Senior Compliance Analyst - Investment Advisory

Apply locations United States-Remote time type Full time posted on Posted 2 Days Ago job requisition id JR0030714

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

Get to Know the Opportunity:

Voya Financial is seeking a Sr. Compliance Analyst to provide compliance support and execution across various responsibilities, as part of a larger compliance program, for Voya Financial Advisors (VFA), Voya’s retail Broker-Dealer and Registered Investment Advisor. The role will primarily focus on supporting and providing oversight to the VFA RIA compliance framework, as well as annual testing fulfillment the RIA in support of 206(4)-7, and various other compliance responsibilities.

The Contributions You'll Make:

The Sr. Compliance Analyst will lead or partner with others in executing on the following activities to ensure compliance with laws and regulations

• Work closely with advisory services, field and phone-based sale channels, to provide guidance and direction on fulfillment of advisory compliance.
• Play a lead role in fulfilling 206(4)-7 testing for the investment advisor.
• Provide guidance and direction to Compliance shared-services team on Code of Ethics oversight/fulfillment.
• Partner with the Compliance surveillance team regarding surveillance results and gap analysis.
• Provide support to management of VFAs Conflicts of Interest (“COI”) program.
• Interpret policies and procedures for field and business partners to assist in resolving conflicts.
• Provide support in the coordination of the investment advisor training program, through identification of training opportunities and maintenance of supportive materials and documents.
• Assist in fulfilling regulatory inquiries and developing responses.
• Effectively correspond with applicable regulatory agencies. This may include state securities or insurance departments, the SEC, or FINRA.
• Conduct in-depth analysis and research of complex compliance related issues and drive results/decisions to implement necessary resolution
• Recommend new policies and procedures.
• Contribute and participate in the fulfillment of annual risk assessments
• 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.

Minimum Knowledge and Experience

Voya’s law and compliance professionals aspire, individually and collectively, to actively participate in Voya’s growth strategy as trusted advisers to the business and enablers of growth, with a focus on customer-centric innovation and consistent execution. We seek like-minded professionals with the following demonstrated 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 years relevant experience in broker-dealer/investment advisory compliance or related/relevant industry experience.
• Required FINRA registrations (Series 7).
• Preferred or ability to obtain (Series 63/65 or Series 66)
• 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 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.

#LI-KD1

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.

$73,900 - $92,370 USD

Be Well. Stay Well.

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

Learn more about Voya benefits (download PDF)

Critical Skills

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.

Learn more aboutCritical Skills

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 .

Misuse of Voya's name in fraud schemes

Voya Financial , Inc. (NYSE: VOYA ), is a leading health, wealth and investment company with approximately 9,000 employees who are focused on achieving Voya’s aspirational vision: Clearing your path to financial confidence and a more fulfilling life. Through products, solutions and technologies, Voya helps its 15.2 million individual, workplace and institutional clients become well planned, well invested and well protected. Benefitfocus, a Voya company and a leading benefits administration provider, extends the reach of Voya’s workplace benefits and savings offerings by engaging directly with over 12 million employees in the U.S. Certified as a “Great Place to Work” by the Great Place to Work Institute, Voya is purpose-driven and committed to conducting business in a way that is economically, ethically, socially and environmentally responsible. Voya has earned recognition as: one of the World’s Most Ethical Companies by Ethisphere; a member of the Bloomberg Gender-Equality Index; and a “Best Place to Work for Disability Inclusion” on the Disability Equality Index. For more information, visit voya.com

Voya’s values serve as our compass, bringing together our culture, performance, brand, vision, strategy and corporate responsibility activities. Our values guide our decision-making and behaviors allowing us to deliver worth to our customers, distribution partners, shareholders and each other.

With a lens on balance, health & welfare, our work environment offers flexibility . The majority of our roles have adopted a hybrid schedule — working some days in the office and some days remotely, providing flexibility for work-life balance and still allowing the benefit of in-person collaboration. Some functions will continue to be 100% on-site and others may be fully remote, depending on business needs.

We do the right thing

We have customer passion

We have a winning spirit

We are the We

Why I love Voya?

Awards and Recognition

Certified by the Great Place to Work Institute as a Great Place to Work, 2016-2023, Voya is equally committed to conducting business in a way that is socially, environmentally, economically and ethically responsible. Voya’s culture is proudly recognized by multiple organizations. See a full listing of our awards and recognition .