Sr Compliance Analyst in Seattle, WA at Voya

Date Posted: 2/12/2018

Job Snapshot

  • Employee Type:
  • Location:
    Seattle, WA
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:

Job Description

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This position is part of the Voya Financial's Enterprise Compliance Inspection team, a team with 10+ members working in different locations around the country. You will spend approximately 60% of your time traveling, usually involving overnight travel.

Profile Responsibilities

  • Responsible for the preparation and execution of securities business related audits in registered and non-registered branch offices across the U.S. and write reports of these audits and oversee to completion.
  • Prepare and perform audits of assigned offices and provide reporting within the requisite timeframe.
  • Develop an annual plan for auditing to ensure efficient use of time and travel budget.
  • Follow written policies and procedures to ensure consistent and proper auditing and reporting practices.
  • Work with a high degree of independence and responsibility for results, position requires approximately 60% travel time, usually involving overnight stays.
  • Maintain contemporary knowledge of federal regulations that govern the securities business.
  • Maintain ethical standards of conduct at all times.
  • Other duties as assigned.

Knowledge & Experience

  • Prior experience in a compliance environment and in a sales or service position in the securities industry.
  • Knowledge of the federal regulations that govern the securities business is necessary. Experience in areas of auditing and training is highly desired.
  • Candidates should demonstrate analytical, presentation, communication and writing skills, as well as strong relationship building and risk evaluation abilities.
  • The selected individual must be a self-starter who is capable of working independently and must be very organized.
  • Must have a working familiarity with MS office products (Word, Power Point and Excel) and be comfortable learning how to use a variety of other software and internet applications.
  • Experience in using applications like Net Ex 360 and an electronic imaging system is preferred.
  • Series 7 & 24 required.
  • Travel is up to 60%


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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