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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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Position Summary:

The E-Communication/Broker-Dealer Team is seeking a Sr. Compliance Analyst to provide compliance support to multiple broker-dealers on a broad range of matters.

Position Description:

Below is a high level overview of the functions that the Sr. Compliance Analyst position will be supporting for the E-Communication/Broker-Dealer team.

  • Responsible for tactical daily/monthly monitoring and oversight of the BDs e-communication program;
  • Analyze, identify, and report discrepancies;    
  • Research and propose corrective action plans;
  • Identify opportunities for process improvements with a lens towards efficiency and/or risk mitigation;
  • Complete CE needs analysis for multiple BDs and work with Compliance Consultant to recommend training curriculum;
  • Develop and execute assigned compliance program testing modules;
  • Compliance resource responsible for the maintenance of multiple firm supervisory structure.  Resolve challenges and discrepancies quickly and factually; and
  • Research and participate in special assignments as need across firms.

May also be responsible for:

  • Create/develop new processes to reduce risk and improve efficiency;
  • Develop, implement and test the firm's policies and procedures;
  • Responsible for reviewing, monitoring, and maintaining the firm's books and records for due diligence reviews and electronic books and records;
  • Research summarize FINRA and other applicable SRO notices and rule changes and provide recommendations to management as needed. Represent Compliance in the implementation of rule changes;
  • Develop and complete risk assessments and corrective action plans for various compliance and business initiatives;
  • Provide direction and support to supervisors and representatives on compliance policies and procedures; and
  • Participate in firm's annual 3120 program and in regulatory audits and inquiries.

Knowledge & Experience:

  • Proven experience with project management that produced successful results and prior work experience with progressively increasing responsibilities.
  • Have strong verbal and written communication skills with experience preparing documentation and responding to internal/external compliance questions and the ability to communicate with all levels inside and outside an organization.
  • Attention to detail, a critical thinker with the ability to handle multiple projects simultaneously, and work well in a team environment.
  • Must be able to work independently and drive initiatives to completion.
  • Have strong knowledge of variable annuity products, mutual funds and industry trends with the ability to analyze complex situations and proactively make recommendations to senior management.
  • Working knowledge of Voya business (Tax Exempt, Institutional, Individual and Insurance Markets).
  • Must be business minded while maintaining the highest ethical and regulatory standards.
  • FINRA Series 7 and 24 preferred.

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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