Advisory Services-Compliance Analyst
About The Position
Together we fight for everyone’s opportunity for a better financial future. We will do this together — with customers, partners and colleagues. We will fight for others, not against: We will stand up for and champion everyone’s access to opportunities. The status quo is not good enough … we believe every individual and every community deserves access to financial opportunities. We are determined to support both individuals and communities in reaching a better financial future. We know that reaching this future depends on our actions today. Like our Purpose Statement, Voya believes in being bold and committed to action. We are committed to a work environment where the differences that we are born with — and those we acquire throughout our lives — are understood, valued and intentionally pursued. We believe that our employees own our culture and have a responsibility to foster an environment where we all feel comfortable bringing our whole selves to work. Purposefully bringing our differences together to positively influence our culture, serve our clients and enrich our communities is essential to our vision. Are you ready to join a company with a strong purpose and a winning culture? Start your Voyage – Apply Now Get to Know the Opportunity: To ensure that all products, procedures, contracts, and services comply with state and federal laws, rules and regulations, and internal standards. This may include Federal and State Insurance Boards, and/or SEC and FINRA Regulations. This position may work in the area of insurance, contract review, and/or securities. Please Note: This is a five-day per week in-office position in our Boston, MA office located on the Seaport.
Requirements
- 3-5 years 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
Nice To Haves
- Series 65 or 66 -IAR Designation highly desirable (must be obtained within 6 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.
Benefits
- Health, dental, vision and life insurance plans
- 401(k) Savings plan – with generous company matching contributions (up to 6%)
- Voya Retirement Plan – employer paid cash balance retirement plan (4%)
- Tuition reimbursement up to $5,250/year
- Paid time off – including 20 days paid time off, nine paid company holidays and a flexible Diversity Celebration Day.
- Paid volunteer time — 40 hours per calendar year
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
