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Voya Investment Management · 2 days ago

VP, Investment Advisory Compliance

Atlanta, GA

Full-time

Hybrid

Senior Level, Lead/Staff

$150K/yr - $175K/yr

10+ years exp

Voya Investment Management is committed to providing better financial opportunities for everyone. The VP, Investment Advisory Compliance will assist in administering the firm’s Compliance Program, focusing on investment and trading activities to address regulatory and compliance risks.

Asset ManagementBankingFinancial ServicesRetirement

Responsibilities

Support the Head of Investment Advisory Compliance (IAC) in all aspects of compliance activities related brokerage practices, conflicts of interest, and market abuse related to trading and investments to ensure that the firm remains in compliance with regulatory requirements, including applicable requirements under the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and relevant non-U.S. directives and laws

Manage the day-to-day responsibilities, including the supervision of other compliance officers, related to brokerage practices, business conflicts of interest compliance oversight, and market manipulation reviews

Primary Compliance support for the Equity and Fixed Income Trade Management Oversight Committees (TMOCs). Advise on matters related to brokerage, soft dollars, and commission practices

Lead the development of content and administration of the firm’s Conflicts Committee. Identify and manage conflicts of interest and other compliance risks, and adequately address such risks in the firm’s policies and procedures

Seek and implement enhancements to the TMOC and Conflicts Committees by reviewing regulatory developments and hot topics apparent from thematic reviews and enforcement actions. Ensure applicable developments are incorporated into processes and procedures

Responsible for trade surveillance and market abuse reviews

Assist in the development and coordination of training materials on regulatory and compliance matters. Provide training for employees

Participate in and provide reporting for various internal working groups and committees impacting the business of the firm

Facilitate the resolution and documentation of trading errors, reporting all errors and exceptions to the Head of IAC and the CCO

Assist with projects and initiatives involving technology and data analysis to develop, enhance, and automate compliance processes

Assist Head of IAC with the review of the Compliance and Trading Manuals

Undertake special compliance-related projects assigned by the Head of IAC and/or CCO

Qualification

Investment advisory complianceSecurities laws knowledgeBrokerage practices oversightTrade surveillanceRegulatory complianceAnalytical skillsTeam managementProject managementBusiness acumenLearning agilityTechnology skillsExcel proficiencyCompliance systems knowledgeCommunication skillsCustomer focusCritical thinkingTeam mentality

Required

Bachelor's Degree or equivalent

10+ years relevant experience in investment advisory compliance or related/relevant industry experience

Comprehensive understanding of relevant securities laws, industry practices, and regulations, including Investment Advisers Act of 1940, the Investment Company Act of 1940, and SEC rules and regulations

Must be highly proficient in all brokerage, trading, conflicts of interest, and market manipulation issues that impact multiple asset classes, equity, private and public fixed income, and alternative products

Demonstrated success in managing a small team

High energy, positive attitude, enthusiastic, professional, with a strong work ethic

Possess well-developed analytical and project management skills, highly organized with the ability to handle multiple tasks and multiple priorities simultaneously in a fast-paced environment

Confident personality with strong verbal and written communication skills

Flexible, consultative, collaborative working style with the ability to motivate change

Working knowledge of trading and compliance systems (e.g., BlackRock Aladdin, Bloomberg AIM)

Strong Excel and technology skills