Job Description: Securities Auditor

Employment Type: Full-time

Position Overview

Together we fight for everyone’s opportunity for a better financial future. Voya believes in being bold and committed to action, fostering a work environment where differences are understood, valued, and intentionally pursued. We are committed to a work environment where employees feel comfortable bringing their whole selves to work, driving positive influence on our culture, clients, and communities.

This role is responsible for the preparation and execution of securities business related audits in registered and non-registered branch offices across the U.S., writing reports of these audits, and overseeing them to completion.

Responsibilities

• 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.
• 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 obtaining information and records in response to regulatory exams.
• Assist with responses to market conduct exams.
• Other duties and projects as assigned.

Requirements

• FINRA registrations S7 and S24 are required.
• Five years of 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.
• Demonstrated leadership (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 the next situation.

Travel

• Position may require 20% - 50% travel time, usually involving overnight stays, depending on current regulatory requirements.

Company Information

Together we fight for everyone’s opportunity for a better financial future. We believe that every individual and every community deserves access to financial opportunities and are determined to support both in reaching a better financial future. Voya is committed to a work environment where differences are understood, valued, and intentionally pursued.

Compensation

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 addition to base salary, Voya offers incentive.

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