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Compliance Analyst in Windsor, CT at Voya

Date Posted: 4/13/2019

Job Snapshot

  • Employee Type:
  • Location:
    Windsor, CT
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:

Job Description

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We are seeking a Compliance Analyst to join Voya Financial in our Windsor, CT or Des Moines, IA location.

Profile Responsibilities:

  • Responsible for surveillance / compliance activities within Broker Dealer areas
  • Monitor activity and deliver reports utilized to maintain compliance with firm policies and regulatory requirements and suggest enhancements
  • Deliver risks/metrics for reporting to management and suggest additions in light of future regulatory developments
  • Surveillance reports for a dual-registered broker-dealer and investment advisor, including transaction, replacement, churning, share class discounts, concentration and reverse churning reports among others
  • Adhering to compliance surveillance department processes and procedures as needed
  • Other special projects as assigned

Knowledge & Experience

  • Bachelor’s degree in business related discipline preferred
  • Series 7 & 24 registrations are required
  • Minimum 2-3 years or relevant professional experience
  • Excellent interpersonal, communication and teamwork skills



Critical Skills
At Voya, we have identified the following critical skills which are key to success in our culture: 

  • Customer Focused: Passionate drive to delight our customers and offer unique solutions that deliver on their expectations.
  • Critical Thinking: Thoughtful process of analyzing data and problem solving data to reach a well-reasoned solution.
  • Team Mentality: Partnering effectively to drive our culture and execute on our common goals. 
  • Business Acumen: Appreciation and understanding of the financial services industry in order to make sound business decisions. 
  • Learning Agility: Openness to new ways of thinking and acquiring new skills to retain a competitive advantage.

Learn more about Critical Skills.


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