Compliance Analyst - Advisory Services at Voya Financial

Braintree, Massachusetts, United States

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Not SpecifiedCompensation

Junior (1 to 2 years), Mid-level (3 to 4 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, InsuranceIndustries

Requirements

Relevant compliance or securities related experience with a broker/dealer, investment adviser and/or financial services firm
Excellent writing, oral and analytical skills
FINRA Series 7 and 24 registrations required
Ability to work independently and meet strict deadlines
Strong knowledge of securities and insurance rules and regulations
Strong knowledge and expertise of retirement plans, products and concepts
Strong aptitude with retail brokerage and advisory platforms
Strong prioritization, organization and time management skills
Series 65 or 66 - IAR Designation highly desirable (must be obtained within 3 months)

Responsibilities

Performing delegated supervisory activities, oversight, surveillance and exception reporting research and review, maintenance of branch-level supervisory books and records
Assisting managers as needed with assigned day to day compliance/oversight tasks and responsibilities to ensure branch office compliance with Firm policies as well as SEC, FINRA and state securities and insurance rules and regulations
Helping draft, revise and enforce new and existing policies and procedures and communicates branch-level policy to sales managers and registered representatives
Assist the OSJ Oversight Director with special projects as required
To ensure that all products, procedures, contracts, and services comply with state and federal laws, rules and regulations, and internal standards (including Federal and State Insurance Boards, and/or SEC and FINRA Regulations)

Skills

Regulatory Compliance

FINRA

SEC

Insurance Regulations

Contract Review

Securities

Supervisory Oversight

Surveillance

Exception Reporting

Compliance Monitoring

Voya Financial

Provides financial services and retirement solutions

About Voya Financial

Voya Financial offers a range of financial services, including retirement plans, investment management, and insurance products, to help individuals and businesses achieve financial wellness. Their services cater to individuals seeking retirement planning, employers looking to enhance employee benefits, and institutions needing tailored investment management. Voya stands out from competitors through its commitment to inclusiveness and corporate responsibility, which helps attract clients and talent. The company's goal is to build long-term relationships with clients, ensuring they achieve financial confidence and a fulfilling life.

New York City, New YorkHeadquarters

2014Year Founded

IPOCompany Stage

Fintech, Financial ServicesIndustries

5,001-10,000Employees

Benefits

Health Savings Account (HSA)

Flexible Spending Accounts (FSA)

Rally wellness program

Employee Assistance Program (EAP) and Work Life Services

Behavioral Health Family Support Program

Livongo support for diabetes, hypertension, and weight management

AccessHope cancer support

Wellthy caregiving assistance

Back-up child care and elder care

Health Advocate

ABLE accounts

Legal insurance

Identity theft protection

Voya Foundation Matching Gift Program

Risks

Increased competition from fintech companies may erode Voya's market share.

Operational challenges in integrating OneAmerica's business could affect service quality.

Regulatory scrutiny on fees may impact Voya's pricing strategies and profitability.

Differentiation

Voya's commitment to inclusiveness and corporate responsibility sets it apart in the market.

The acquisition of OneAmerica's retirement plan business expands Voya's client base significantly.

Voya's focus on digital financial planning tools enhances client engagement and satisfaction.

Upsides

Voya's ESG commitment aligns with the growing investor focus on sustainable investing.

The financial wellness market's growth offers significant opportunities for Voya's programs.

AI integration in investment management can enhance Voya's strategies and client outcomes.

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