VP, Investment Advisory Compliance

Voya Financial • Atlanta, GA

15d • Hybrid

About The Position

Assist the Head of Investment Advisory Compliance in administering the firm’s Compliance Program, focusing on investment and trading activities addressing regulatory and compliance risks such as brokerage/commission practices, conflicts of interest, and market manipulation. This role will encompass all types of clients as well as all asset classes across the firm, such as public and private fixed income, public equity, and alternative investments. The VP, Investment Advisory Compliance will collaborate with the various investment teams across all asset classes, Legal, Risk, Internal Audit, and other support function colleagues to ensure compliance with regulatory requirements, client needs, and industry standards. This is a New York City or Atlanta based in-office/hybrid position

Requirements

• Bachelor's Degree or equivalent
• 10+ years relevant experience in investment advisory compliance or related/relevant industry experience
• Comprehensive understanding of relevant securities laws, industry practices, and regulations, including Investment Advisers Act of 1940, the Investment Company Act of 1940, and SEC rules and regulations
• Must be highly proficient in all brokerage, trading, conflicts of interest, and market manipulation issues that impact multiple asset classes, equity, private and public fixed income, and alternative products.
• Demonstrated success in managing a small team.
• High energy, positive attitude, enthusiastic, professional, with a strong work ethic
• Possess well-developed analytical and project management skills, highly organized with the ability to handle multiple tasks and multiple priorities simultaneously in a fast-paced environment.
• Confident personality with strong verbal and written communication skills
• Flexible, consultative, collaborative working style with the ability to motivate change.
• Working knowledge of trading and compliance systems (e.g., BlackRock Aladdin, Bloomberg AIM)
• Strong Excel and technology skills

Responsibilities

• Support the Head of Investment Advisory Compliance (IAC) in all aspects of compliance activities related brokerage practices, conflicts of interest, and market abuse related to trading and investments to ensure that the firm remains in compliance with regulatory requirements, including applicable requirements under the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and relevant non-U.S. directives and laws.
• Manage the day-to-day responsibilities, including the supervision of other compliance officers, related to brokerage practices, business conflicts of interest compliance oversight, and market manipulation reviews.
• Primary Compliance support for the Equity and Fixed Income Trade Management Oversight Committees (TMOCs).
• Advise on matters related to brokerage, soft dollars, and commission practices.
• Lead the development of content and administration of the firm’s Conflicts Committee.
• Identify and manage conflicts of interest and other compliance risks, and adequately address such risks in the firm’s policies and procedures.
• Seek and implement enhancements to the TMOC and Conflicts Committees by reviewing regulatory developments and hot topics apparent from thematic reviews and enforcement actions. Ensure applicable developments are incorporated into processes and procedures.
• Responsible for trade surveillance and market abuse reviews.
• Assist in the 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 of the firm.
• Facilitate the resolution and documentation of trading errors, reporting all errors and exceptions to the Head of IAC and the CCO.
• Assist with projects and initiatives involving technology and data analysis to develop, enhance, and automate compliance processes.
• Assist Head of IAC with the review of the Compliance and Trading Manuals.
• Undertake special compliance-related projects assigned by the Head of IAC and/or CCO.

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
• Number of Employees: 251-500 employees