Senior Compliance Analyst - Branch Audits

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:

Responsible for the preparation and execution of securities business related audits in registered

and non-registered branch offices across the U.S., write reports of these audits and oversee to

completion.

Position Description:

Involved in the following activities to ensure compliance with laws and regulations:

• Prepare and perform audits of assigned offices and provide reporting within the requisite time frame.
• Develop an annual plan for auditing to ensure efficient use of time and travel budget.
• Follow written policies and procedures to ensure consistent and proper auditing and reporting practices.
• Provide direction and support to business partners on compliance policies and procedures.
• Work with a high degree of independence and responsibility for your results,
• Position may require 20% - 50% travel time usually involving overnight stays, depending on current regulatory requirements.
• Maintain contemporary knowledge of federal regulations that govern the securities business.
• Maintain ethical standards of conduct at all times.
• Recommend new policies and procedures.
• Participate in the obtaining of information and records in response to regulatory exams
• Assist with response to market conduct exams.
• Other duties and projects as assigned.

Knowledge & Experience:

• FINRA registrations S7 and S24 are required.
• Five years relevant experience in compliance or related/relevant industry experience.
• Some audit experience in a securities environment is required.
• Extensive knowledge and understanding of life insurance, annuity products, securities and/or investment advisory products.
• Excellent verbal and written communication skills.
• Strong leadership required. Proven ability to manage high volumes under tight deadlines while maintaining accuracy and minimizing risk to the company.
• Proven ability to prioritize assignments and maintain and/or exceed established processing timeframes.
• Leadership expected (e.g., taking proactive steps to assist other team members, working towards solutions versus only problem identification).
• Consistently works with business leaders and compliance team with reliable results under minimal supervision.
• Consistently demonstrates an ability to work across other lines of business and/or departments for Continuous Improvement opportunities.
• Takes responsibility for errors and applies new knowledge to next situation.
• Ability to travel approximately 20% of the time.

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Compensation Pay Disclosure:

Voya is committed to pay that’s fair and equitable, which means comparable pay for comparable roles and responsibilities.

The below annual base salary range reflects the expected hiring range(s) for this position in the location(s) listed. In addition to base salary, Voya offers incentive opportunities (i.e., annual cash incentives, sales incentives, and/or long-term incentives) based on the role to reward the achievement of annual performance objectives. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Voya Financial is willing to pay at the time of this posting.

Actual compensation offered may vary from the posted salary range based u