Vice President and Chief Counsel Wealth Management

United States

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Not SpecifiedCompensation

Expert & Leadership (9+ years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Wealth Management, Retirement ServicesIndustries

Requirements

Candidates must possess a Bachelor's Degree and a Juris Doctor Degree from an accredited law school and be a member in good standing in at least one jurisdiction. A minimum of 10 years of experience in the retirement industry, working with investment advisors, registered broker dealers, state insurance departments, and variable and fixed investments is required. In-depth knowledge of FINRA, SEC, DOL, and IRS regulations applicable to retail investment products and investment advisory activities is essential, along with strong relationship management, oral, and written communication skills. Proficiency in Microsoft Office products and MS Outlook is also necessary.

Responsibilities

The Vice President and Chief Counsel will serve as the primary attorney advising Wealth Management product and sales teams on legal issues related to retirement products and services. This includes supporting strategic initiatives, maintaining legal focus, and protecting the Company. Responsibilities include supporting regulatory compliance for broker-dealer and registered investment advisor companies, advising on all legal aspects of the product lifecycle, drafting policies and disclosures, identifying and mitigating potential legal risks, advising on compliance with federal and state laws, and supporting the drafting and negotiation of commercial agreements. The role also involves monitoring and advising on regulatory matters.

Skills

Wealth Management

Legal Counsel

Retirement Products

Regulatory Compliance

Broker-Dealer

Registered Investment Advisor

Financial Services Law

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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