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Company

Voya Financial · 13 hours ago

Chief Compliance Officer - Voya Financial Advisors

United States

Full-time

Remote

Director/Executive

$168K/yr - $210K/yr

10+ years exp

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Responsibilities

Management of processes to establish, maintain, review, test, and modify policies and procedures designed to achieve compliance with applicable securities, privacy, anti-money laundering, and insurance laws, and SEC and FINRA rules

Serve as a principal adviser to senior management of Voya Financial Advisors

Lead a team of 11 Compliance professionals throughout the United States

Assess and enhance a retail broker-dealer and investment advisor compliance program, including annual assessments (3120, 206(4)-7, and Department of Labor PTE 2020-02), surveillance, enterprise inspection program, and field oversight programs

Provide strategic vision with a primary focus of continually evolving the compliance framework

Engage business partners, employees, field representatives, other constituencies, and stakeholders at all levels and engender trust

Make independent assessments and present thoughtful decisions

Manage complex issues requiring aptitude in balancing business objectives with effective and efficient solutions to manage compliance risks

Actively represent and participate in various committees

Manage multiple issues simultaneously and to handle ambiguity and accountability

Engage, motivate and inspire employees and retain talent

Effectively partner and collaborate with employees in all areas across the enterprise

Actively listen and state positions in a practical, easily understood manner with respect to other employees or constituencies

Qualification

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Compliance Program ManagementSecurities Laws KnowledgeFINRA Series 7 LicenseFINRA Series 24 LicenseRegulatory ExperienceLegal KnowledgeRisk ManagementCustomer Focus

Required

At least 10 years relevant experience in compliance, legal, and regulatory matters in the retail broker-dealer, investment advisor, and insurance arenas.

Strong knowledge of the federal and state securities laws and regulations, and FINRA rules that govern the securities business.

Knowledge of industry best practices and the ability to leverage technology.

FINRA Series 7 And 24 Licenses.

Ability to assess and enhance a retail broker-dealer and investment advisor compliance program, including annual assessments (3120, 206(4)-7, and Department of Labor PTE 2020-02), surveillance, enterprise inspection program, and field oversight programs.

Provide strategic vision with a primary focus of continually evolving the compliance framework.

Effective in engaging business partners, employees, field representatives, other constituencies, and stakeholders at all levels and engendering trust.

Bias for action and a demonstrated track record in executing against objectives.

Ability to make independent assessments and present thoughtful decisions.

Demonstrated ability to manage complex issues requiring aptitude in balancing business objectives with effective and efficient solutions to manage compliance risks.

Proactive, result-oriented and willing to be held accountable.

Actively represent and participate in various committees.

Ability to manage multiple issues simultaneously and to handle ambiguity and accountability.

Ability to engage, motivate and inspire employees and retain talent.

Ability to effectively partner and collaborate with employees in all areas across the enterprise.

Active listener who also states positions in a practical, easily understood manner with respect to other employees or constituencies.

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.