Compliance Manager

Yesterday

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Voya Financial

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Voya Financial is a leading financial services company that provides a wide range of retirement, investment, and insurance products to help individuals, families, and institutions plan, invest, and protect their future. With a focus on retirement savings and workplace benefits, Voya connects benefits and savings to simplify financial experiences and enhance financial security. The company is committed to making a positive difference by serving others through its unique culture, and has been recognized for its values and customer-centric approach. Voya also engages in initiatives like the Voya Behavioral Finance Institute for Innovation to further its mission of transforming financial care in the workplace.

Retirement • Investments • Insurance

5001 - 10000 employees

Founded 1998

💸 Finance

📋 Description

• Voya Financial is seeking a Compliance Manager to provides compliance leadership as part of a compliance program. • The role will manage the conflicts of interest program, coordinating training, and acting as a primary contact for regulatory matters. • Lead activities to ensure compliance with laws and regulations, manage direct reports, and coordinate the COI program.

🎯 Requirements

• Bachelor's Degree or equivalent experience • Five to seven years relevant experience in compliance management or related/relevant industry experience. • Required FINRA registrations (S7/S24) • Strong knowledge and understanding of annuity products, securities, and investment advisory products. • Ability to make independent assessments and present thoughtful, risk-based decisions with limited support. • Ability to provide strategic leadership and vision with a focus on continually evolving the compliance framework. • Ability to prioritize assignments and support and/or exceed established processing periods with limited supervision. • Demonstrated ability to work across business lines and/or departments for continuous improvement opportunities and to develop and implement risk mitigation activities. • Ability to learn from mistakes and apply learnings to future situations.

🏖️ 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