SEC Compliance Consultant in Atlanta, GA at Voya

Date Posted: 10/12/2018

Job Snapshot

  • Employee Type:
    Full-Time
  • Location:
    Powers Ferry Rd
    Atlanta, GA
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:
    10/12/2018

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.

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.

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