Voya Financial · 8 hours ago
Compliance Consultant - Wealth Management
Boston, MA
Full-time
Onsite
Mid, Senior Level
$100K/yr - $126K/yr
5+ years expVoya Financial is a company committed to providing better financial opportunities for individuals and communities. They are seeking a Compliance Consultant for their Retail Wealth Management business line, focusing on compliance guidance for Voya Financial Advisors' phone-based sales channel and digital business.
Financial Services
Hiring Manager
Kristina DiMartino
Responsibilities
Provide dedicated Compliance leadership to VFA’s phone sales channel and direct-to-consumer digital experience
Serve as the AMLO delegate, providing oversight to AML and fraud monitoring and surveillance activities
Participate in business and compliance related projects, surface issues/risks and provide recommendations/guidance to senior management
Interpret applicable regulations to assist in resolving conflicts and recommending solutions
Play a critical role on the Firm's Working Group that supports elder abuse and financial exploitation cases
Review, and suggest applicable changes for, procedures for business areas directly supported
Partner continuously with the Retail Wealth Management Legal and Risk leadership
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
Maintain related internal compliance materials, such as standard operating procedures and job aids, for areas of responsibility
Support other Compliance work as assigned
Qualification
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
Benefits
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
Company
Voya Financial
Voya Financial is a financial services company that specializes in the fields of retirement, investments, and insurance.
5001-10000 employees
Funding
Current Stage
Public CompanyTotal Funding
unknown2018-06-01Acquired
2013-05-02IPO
Leadership Team
Michael Katz
Executive Vice President, Chief Financial Officer
Recent News
2026-01-16
2026-01-09
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2025-12-24
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