VP, Investment Advisory Compliance at Voya Financial

New York, New York, United States

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Not SpecifiedCompensation

Senior (5 to 8 years), Expert & Leadership (9+ years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Investment ManagementIndustries

Requirements

Experience assisting in administering a firm's Compliance Program, focusing on investment and trading activities, regulatory risks such as brokerage/commission practices, conflicts of interest, and market manipulation across all client types and asset classes (public/private fixed income, public equity, alternative investments)
Ability to collaborate with investment teams across asset classes, Legal, Risk, Internal Audit, and other support functions to ensure compliance with regulatory requirements, client needs, and industry standards
Knowledge of applicable regulations including Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, Commodity Exchange Act, and relevant non-U.S. directives and laws
Supervisory experience over other compliance officers
Ability to lead development and administration of Conflicts Committee and Trade Management Oversight Committees (TMOCs)
Capability to review regulatory developments, enforcement actions, and thematic reviews to enhance processes and procedures
Experience in trade surveillance and market abuse reviews
Skills in developing and delivering training materials on regulatory and compliance matters
Ability to participate in internal working groups, committees, facilitate resolution and documentation of trading errors, and provide reporting

Responsibilities

Support the Head of Investment Advisory Compliance (IAC) in all aspects of compliance activities related to brokerage practices, conflicts of interest, and market abuse in trading and investments to ensure regulatory compliance
Manage day-to-day responsibilities, including supervision of other compliance officers, for brokerage practices, business conflicts of interest compliance oversight, and market manipulation reviews
Serve as primary Compliance support for Equity and Fixed Income Trade Management Oversight Committees (TMOCs); advise on brokerage, soft dollars, and commission practices
Lead development of content and administration of the firm’s Conflicts Committee; identify, manage, and address conflicts of interest and compliance risks in policies and procedures
Seek and implement enhancements to TMOC and Conflicts Committees based on regulatory developments, thematic reviews, and enforcement actions, incorporating them into processes and procedures
Conduct trade surveillance and market abuse reviews
Assist in development and coordination of training materials on regulatory and compliance matters; provide training for employees
Participate in and provide reporting for various internal working groups and committees impacting the business
Facilitate resolution and documentation of trading errors, reporting all errors and exceptions to the Head of IAC and the CCO
Assist with projects

Skills

Investment Compliance

Regulatory Compliance

Brokerage Practices

Conflicts of Interest

Market Manipulation

Fixed Income

Public Equity

Alternative Investments

Risk Management

Internal Audit

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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