Sr Compliance Analyst in Scottsdale, AZ at Voya

Date Posted: 9/6/2018

Job Snapshot

  • Employee Type:
    Full-Time
  • Location:
    7337 East Doubletree Ranch Road
    Scottsdale, AZ
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:
    9/6/2018

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.

Position Summary:


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.


Position Responsibilities

  • Prepare and perform audits of assigned offices and provide reporting within the requisite time frame.

  • 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 your 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:

  • 5 years relevant experience in a broker dealer compliance environment or related/relevant securities business experience

  • Some audit experience in a securities environment is required

  • Series 7 and 24 registrations are required

  • Bachelor’s degree or equivalent work experience

  • Strong knowledge of securities products including advisory

  • Excellent oral and written communication skills

  • Must be a self-starter and capable of working independently and must be very organized

  • Strong analytical and risk evaluation skill

  • Strong interpersonal skills

  • Strong PC skills including Microsoft Office products.  Experience in applications like NetEx360, Web CRD, and electronic imaging systems is preferred.


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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.