VP, Investment Advisory Compliance

Voya Financial•Atlanta, NY

10d•Hybrid

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 – Get to Know the Opportunity 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

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