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Voya Financial · 2 days ago

Compliance Consultant - Wealth Management

Boston, MA

Full-time

Onsite

Mid, Senior Level

$100K/yr - $126K/yr

5+ years exp

Voya Financial is dedicated to providing financial opportunities for individuals and communities. The Compliance Consultant will support compliance for Voya Financial Advisors' phone sales channel and digital consumer business, ensuring adherence to regulations and facilitating training and compliance initiatives.

Financial Services

Hiring Manager

Kristina DiMartino

Responsibilities

Provide dedicated Compliance support to VFA’s phone sales channel and direct-to-consumer digital experience

Participate in business and compliance related projects, surface issues and report back to senior management

Interpret applicable regulations to assist in resolving conflicts and recommending solutions

Review, and suggest applicable changes for, procedures for business areas directly supported

Facilitate regular meetings with management of the supported business areas

Provide support in the coordination of the broker-dealer training program, through identification of training opportunities

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

Continually identify potential key compliance risks for reporting to compliance management

Support other Compliance work as assigned

Qualification

FINRA Series 7Broker-dealer complianceInvestment advisory complianceRisk assessmentCommunication skillsProactive attitudeCuriosityProblem solvingTeam playerGrowth mindset

Required

Bachelor's Degree or equivalent experience

Five years relevant experience in broker-dealer/investment advisory 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 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

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