Senior Compliance Analyst in Des Moines, IA at Voya

Date Posted: 7/29/2018

Job Snapshot

  • Employee Type:
    Full-Time
  • Location:
    699 Walnut Street
    Des Moines, IA
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:
    7/29/2018

Job Description

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Position summary


To ensure that all applicants for registration with Voya Financial Advisors are evaluated, handled and maintained according to written guidelines and to determine which files require further review. Includes ensuring all required file documentation is obtained & properly retained by the Transition Team and is communicated, as needed. Will also monitor any conditions for approval to ensure completion and will develop an oversight procedure to monitor overall compliance of the onboarding function. Will assist the broader IFP Compliance team assess and monitor risks associated with the registration process, including maintenance of representative information.


Position Description:

  • Analyze and review paperwork of registered representatives joining the firm to ensure in accordance with firm’s  policies and FINRA and state’s regulations
  • Work closely with the Transition and Licensing teams on the onboarding process of new reps.
  • Perform the necessary support functions related to Transition and Licensing to help ensure standards are achieved
  • Assist Transition management with identifying and introducing necessary procedural changes.
  • Analyze and interpret laws and regulations and determine impact on new and existing policies, products, procedures and services. 
  • Effectively communicate regulatory and procedural changes and/or important issues to affected business unit(s), field and customers, and build relationships with business partners.
  • Develop risk assessments and needs analyses for various compliance initiatives.
  • Participate in business and compliance related projects, surface issues and report back to management on topics related to projects
  • Other duties as assigned.

Knowledge & Experience:

  • Five years relevant experience in compliance or related/relevant industry experience.
  • FINRA Licenses Required - Series 6 & 26 or 7 & 24
  • FINRA 7 & 24 prefered
  • Extensive knowledge and understanding of life insurance, annuity products, securities and/or investment advisory products depending on business line.
  • Excellent verbal and written communication skills.
  • Strong leadership required. Proven ability to manage high volumes under tight deadlines while maintaining accuracy and minimizing risk to the company. 

#Li-RC1

#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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