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Sr Compliance Analyst in Windsor, CT at Voya

Date Posted: 4/21/2019

Job Snapshot

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

Job Description

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Voya Financial is seeking a Sr. Compliance Analyst to join its Ad Review team in Windsor, CT.

Position Description:

  • Provide advertising compliance support to Voya businesses including affiliated broker/dealers; consistently review and approve securities/investment advisory/insurance communications against applicable laws and regulations; interpret impact of laws on new and existing communications; assist in communicating changes and important issues to affected businesses and/or the field; effectively track communications using applicable methods and tools per company policy and industry record retention requirements.
  • Effectively communicate and build relationships with the field and home office personnel; research and respond to submitter inquiries about advertising compliance issues.
  • Support regulatory exam inquiries and requests; ability to effectively correspond with applicable regulators, if needed, assisting in researching and responding to comments and/or inquiries received.
  • Manage subject matter expert review process to ensure materials are reviewed by all applicable individuals/areas.
  • Research, draft and/or review securities/investment advisory/insurance communications, policies and procedures and training materials; work to incorporate them into daily interactions with the field and/or business partners.
  • Maintain internal compliance materials such as manuals, reference material, reports, etc.
  • Provide ongoing support for retail broker/dealer’s expanded social media initiatives through use of social media tools.
  • Other projects and administrative duties as assigned.  

Knowledge & Experience:

  • Bachelor's Degree or equivalent experience
  • A compliance professional with a minimum of 5 years of relevant experience in advertising compliance and/or retail b/d compliance experience required.
  • FINRA Principal registration required  (e.g., S7 & S24 required; S53 a plus; otherwise expected to obtain)
  • Life and Health Insurance License and or additional industry designations a plus.
  • Extensive knowledge of securities, investment advisory, alternative products, seminar marketing programs, advanced marketing concepts, life insurance, annuities as well as tax related issues surrounding these products and services required.
  • Extensive knowledge of the retirement  business (corporate, healthcare, education, government, institutional, individual and insurance markets) a plus.
  • Excellent verbal and written communication skills.
  • Proven ability to manage high volumes under tight deadlines while maintaining accuracy and minimizing risk to the company. 
  • Proven ability to prioritize assignments and maintain and/or exceed established processing timeframes.
  • Leadership expected (e.g. taking proactive steps to assist other team members, working towards solutions versus only problem identification). 
  • Consistently works with business leaders and compliance team with reliable results under minimal supervision.
  • Consistently demonstrates an ability to work across other lines of business and/or departments for Continuous Improvement opportunities.
  • Takes responsibility for errors and applies new knowledge to next situation.



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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