Compliance Consultant - Wealth Management at Voya Financial

Boston, Massachusetts, United States

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Not SpecifiedCompensation

Mid-level (3 to 4 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Wealth ManagementIndustries

Requirements

Bachelor's Degree or equivalent experience
Five years relevant experience in broker-dealer/investment advisory compliance or related/relevant industry experience
FINRA Series 7 license, with willingness to pursue additional licensure; FINRA Series 24 license is a plus
Strong knowledge and understanding of annuity products, securities, and investment advisory
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

Responsibilities

Provide dedicated Compliance support to VFA’s phone sales channel and direct-to-consumer digital experience
Participate in business and compliance related projects, surface issues and report back to senior management
Interpret applicable regulations to assist in resolving conflicts and recommending solutions
Review, and suggest applicable changes for, procedures for business areas directly supported
Facilitate regular meetings with management of the supported business areas
Provide support in the coordination of the broker-dealer training program, through identification of training opportunities
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
Continually identify potential key compliance risks for reporting to compliance management
Support other Compliance work as assigned

Skills

Compliance Support

Regulatory Compliance

Wealth Management

Broker-Dealer

Registered Investment Advisor

Phone Sales Channel

Digital Direct-to-Consumer

Project Management

Risk Identification

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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