Compliance Analyst-Advisory Services

Voya Financial • Boston, MA

4d • Onsite

About The Position

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. This position has been designated as an essential worker and requires work to be performed in our Boston, MA office located in 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed