AVP Investment Compliance Officer

Voya Financial • San Diego, CA

1d • $104,000 - $130,000 • Onsite

About The Position

This role, based in San Diego, CA, is primarily responsible for monitoring client portfolios for compliance with applicable regulatory requirements and client-specific investment guidelines. The successful candidate will demonstrate sound judgment, a strong risk-based mindset, and the ability to develop practical solutions to complex compliance matters while supporting business objectives. The role requires extensive interaction with investment professionals, legal, operations, technology, and other business stakeholders. The ideal candidate will possess strong analytical and critical-thinking skills, a high level of personal accountability, and the ability to prioritize competing responsibilities in a fast-paced environment. A commitment to continuous improvement, attention to detail, and the ability to maintain the highest standards of confidentiality and professionalism are essential. The individual will be expected to take ownership of key compliance processes, drive initiatives that enhance the effectiveness of the compliance program and collaborate across functions to address emerging risk and resolve complex issues. In addition, the candidate will actively contribute to strategic projects and other departmental initiatives in support of the firm's broader compliance and business objectives.

Requirements

• Bachelor's degree or equivalent.
• A minimum of seven years of investment management compliance experience.
• Proficiency with automated compliance monitoring systems and rule coding (e.g., BlackRock’s Aladdin, Bloomberg AIM, etc.).
• Working knowledge of relevant securities laws, industry practices, and regulations, including Investment Advisers Act of 1940, the Investment Company Act of 1940, and other applicable SEC rules and regulations.
• Experience supporting a broad range of investment products, strategies, and asset classes.
• Knowledge of global investment products and non-U.S. regulatory frameworks (e.g., Luxembourg, Taiwan, EU, UK, and Hong Kong).
• Excellent verbal and written communication skills, with the ability to influence and advise stakeholders.
• Proven ability to manage multiple priorities, meet deadlines, and maintain a high degree of accuracy and attention to detail.
• Strong technology skills, including proficiency with Excel and the ability to quickly learn and leverage new systems and tools.
• Experience managing or mentoring compliance professionals and leading cross-functional initiatives.

Responsibilities

• Lead and oversee portfolio compliance surveillance activities on both a pre-trade and post-trade basis to monitor adherence to regulatory requirements and client investment guidelines.
• Design, implement, and enhance compliance surveillance tools and monitoring processes to mitigate risk, improve controls, and drive operational efficiencies.
• Identify, investigate, document, and facilitate the resolution of compliance exceptions, trading errors, and guideline breaches. Escalate issues in accordance with firm policies and provide recommendations for corrective actions and process enhancements.
• Assist in the development, implementation, periodic review, and testing of compliance policies, procedures, and controls. Communicate findings and recommend enhancements to strengthen the compliance program.
• Serve as a trusted compliance advisor to investment professionals, traders, and business partners by providing guidance on investment restrictions, regulatory requirements, fiduciary obligations, and client-specific guidelines.
• Lead or support the implementation, enhancement, testing, and ongoing administration of compliance and portfolio management systems. Identify and leverage technology solutions to improve monitoring capabilities, scalability, and operational effectiveness.
• Review and interpret investment management agreements, prospectuses, offering documents, and client guideline materials to assess regulatory and contractual requirements and establish effective compliance monitoring methodologies, including automated rule coding.
• Partner with vendors and internal operations and technology teams to develop, maintain, and optimize automated compliance monitoring tools, reporting, and surveillance capabilities.
• Oversee compliance-related client reporting for assigned portfolio groups, ensuring accuracy, completeness, and timely delivery.
• Provide leadership, mentorship, and training to junior compliance professionals, including oversight of work quality, professional development, and performance feedback.
• Maintain a thorough understanding of applicable securities laws, regulatory developments, firm policies, and industry best practices, and ensure adherence to all applicable requirements.
• Develop and maintain a deep understanding of the firm's investment products, strategies, and business activities, and contribute to the ongoing administration and enhancement of the firm's compliance program.
• Lead and participate in strategic initiatives, regulatory change management efforts, examinations, audits, and other special projects. Contribute to the achievement of departmental and enterprise-wide objectives.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level