Compliance Consultant

Voya Financial • Chicago, IL

1d • Hybrid

About The Position

The Compliance Consultant's primary role is to provide registered principal support to the Regional Vice President, including branch and representative inspections, oversight of books and records, and support for new representative onboarding, training, and the implementation of tools and technologies to ensure compliance with applicable rules and regulations. This is a work-from-home position with required travel within the Midwest (up to 30%). The ideal candidate resides in the Midwest and holds active Series 7 and Series 24 licenses or can obtain them within three months of hire.

Requirements

• FINRA Series 7 and Series 24 securities licenses
• Strong verbal, written, and interpersonal communication skills
• Working knowledge of the financial services industry
• Strong organizational and time management skills
• Proficiency with Microsoft Office, including Outlook, PowerPoint, Excel, and Word
• High attention to detail with the ability to follow established processes
• Resourceful, innovative, and solution-oriented
• Well-developed analytical and problem-solving skills
• Demonstrated integrity and ability to maintain confidentiality

Nice To Haves

• Bachelor’s Degree or equivalent experience
• Experience using Global Relay, Proofpoint, StarCompliance, RegEd, RedOak, and Microsoft CoPilot
• Experience using Artificial Intelligence for supervision and compliance

Responsibilities

• Conduct annual branch and registered representative inspections
• Review books and records, including email, gifts, correspondence, and advertising
• Oversee personal securities transactions and outside business activities
• Support onboarding of new registered representatives and associated persons
• Test, implement, and support new technologies and automation tools
• Identify gaps or inefficiencies within existing compliance and supervision processes through risk reviews, testing, and regulatory analysis
• Design, implement, and document new or enhanced supervision processes to address identified gaps and strengthen regulatory compliance

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: Associate degree