Compliance Analyst in Des Moines, IA at Voya

Date Posted: 9/26/2018

Job Snapshot

  • Employee Type:
  • Location:
    699 Walnut Street
    Des Moines, IA
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:

Job Description

As part of the application process, a candidate account is required to log in and view application(s).  Please be sure to check email regularly for information regarding our employment process.

Position Summary:

Responsible for the oversight of functions performed by Voya’s BPO vendors. Will help ensure business is processed in accordance with Voya’s policies and procedures.  Other initiatives may include providing leadership in performing risk mitigation activities. Serve as project lead on internal and external Audits

Position Responsibilities :

  • Provide oversight of BPO
  • Administration of Policies, Procedures, SOX, and Business Continuity Plan (BCP)  
  • Accountable for Internal and external audit support and response.
  • Special projects as directed by management including responding to regulatory requests, conducting research, and coordinating with other departments and staff as necessary.
  • Oversight of forms administration.
  • Regularly assist with analyzing and maintaining exception reporting data
  • Monthly reporting as required by FINRA, SEC, State of Iowa and firm.
  • Build and maintain understanding of regulatory environment, relevant rules and regulations, technologies and systems, processes and operational methodologies, investigative and examination techniques. 
  • Works with internal business partners to address concerns and educate concerning firm policies.
  • Other duties and projects as assigned.

Knowledge & Experience Requirements :

  • Bachelor’s Degree or equivalent industry related professional experience.
  • Minimum 3 years of financial services industry experience.
  • Minimum 2 years of vendor management and/or vendor coordination experience.
  • Minimum 2 years of compliance experience .
  • Familiarity with SOX. 
  • Proficient with MS Office.
  • Ability to organize and prioritize tasks and work assignments; complete multiple tasks simultaneously with accuracy and quality; adjust to changes in priorities and situations; complete work under pressure and meet deadlines.
  • Must have strong analytical and research skills.
  • Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist advisors and internal business partners.



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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