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

Position Summary:

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.

Position Description:

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.

 Skills and Competencies:

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/inv