Chief Compliance Officer

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Voya Financial

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Retirement • Investments • Insurance

5001 - 10000 employees

Founded 1998

💸 Finance

Description

• Responsible for the effective leadership of the compliance program for Voya Financial Advisors • Management of processes to establish, maintain, review, test, and modify policies and procedures • Serve as a principal adviser to senior management of Voya Financial Advisors • Lead a team of 11 Compliance professionals throughout the United States • Ability to engage, motivate and inspire employees and retain talent

Requirements

• At least 10 years relevant experience in compliance, legal, and regulatory matters in retail broker-dealer, investment advisor, and insurance arenas • Strong knowledge of the federal and state securities laws and regulations, and FINRA rules • Knowledge of industry best practices and ability to leverage technology • FINRA Series 7 and 24 licenses are required • Ability to assess and enhance a retail broker-dealer and investment advisor compliance program • Effective in engaging business partners and stakeholders at all levels • Ability to make independent assessments and present thoughtful decisions • Demonstrated ability to manage complex issues with effective solutions to manage compliance risks • Ability to engage, motivate and inspire employees and retain talent

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