Sr Compliance Analyst in Scottsdale, AZ at Voya

Date Posted: 9/6/2018

Job Snapshot

  • Employee Type:
  • Location:
    7337 East Doubletree Ranch Road
    Scottsdale, AZ
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:

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.



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.