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We are seeking a SEC Compliance Consultant for our Atlanta, GA location (open to other locations: Windsor, CT; Braintree, MA; Des Moines, IA) office to assist within our Broker Dealer division.
Principal Responsibilities
- Serve as primary Compliance resource for Voya Financial Advisors' investment advisory business, including policies, procedures, forms, workflows and disclosures
- Develop and execute the Firm's annual testing efforts under SEC Rule 206(4)-7 and FINRA Rule 3120
- Coordinate responses to regulatory inquiries and exams with Sales, Finance, Operations and IT to ensure responses are complete and consistent
- Track remediation of outstanding exceptions identified by regulators, ensuring items are completed and documented
- Maintain Voya Financial Advisors policy manuals and Form ADV
- Participate in business and compliance related projects, surface issues and report back to management on topics related to projects
- Participate in business- and compliance-related projects, identifying potential issues and escalating any concerns
- Other duties as assigned
Education and Experience
- Minimum 8 years of relevant professional experience
- Strong understanding of securities industry rules, with a particular focus on the SEC’s regulation of investment advisory business
- Bachelor’s degree or equivalent experience
- Series 7 and 24 registrations are required
- Strong organizational, analytical and problem solving skills
- Excellent interpersonal, communication, business writing and teamwork skills
#CB
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.
