Compliance Manager

Together we fight for everyone’s opportunity for a better financial future.

We will do this together — with customers, partners and colleagues. We will fight for others, not against: We will stand up for and champion everyone’s access to opportunities. The status quo is not good enough … we believe every individual and every community deserves access to financial opportunities. We are determined to support both individuals and communities in reaching a better financial future.  We know that reaching this future depends on our actions today.

Like our Purpose Statement, Voya believes in being bold and committed to action.  We are committed to a work environment where the differences that we are born with — and those we acquire throughout our lives — are understood, valued and intentionally pursued. We believe that our employees own our culture and have a responsibility to foster an environment where we all feel comfortable bringing our whole selves to work. Purposefully bringing our differences together to positively influence our culture, serve our clients and enrich our communities is essential to our vision.

Are you ready to join a company with a strong purpose and a winning culture? Start your Voyage – Apply Now

Get to Know the Opportunity:

Voya Financial is seeking a Compliance Manager to provides compliance leadership across various responsibilities, as part of a larger compliance program, for Voya Financial Advisors (VFA), Voya’s retail Broker-Dealer and Registered Investment Advisor. The role will primarily focus on managing the conflicts of interest program, coordinating the B-D/RIA training program, acting as a primary contact for regulatory matters, and acting as the primary delegate to the Money Laundering Reporting Officer, as well as management of operational and IT procedures reviews, annual testing fulfillment for B/D and RIA, and various other leadership responsibilities.

The Contributions You'll Make:

 The Compliance Manager will lead or partner with others in executing on the following activities to ensure compliance with laws and regulations:

• Manage three direct reports that focus on 1) operational, IT, and phone sales channel procedure review/oversight, 2) advisory compliance, 3) 3120 testing, and 4) 206(4)-7 testing.
• Manage the Conflicts of Interest (“COI”) program for VFA.
• Coordinate meetings and function as the chair for the COI committee.
• Interpret policies and procedures for field and business partners to aid in resolving conflicts.
• Coordinate the broker-dealer and investment advisor training program, through identification of training opportunities and maintenance of supportive materials and documents.
• Provide guidance and/or training to other colleagues in the compliance area.
• Participate in development, design, and execution of annual FINRA 3120 and SEC Rule 206(4)-7 testing programs.
• Function as the primary compliance contact responsible for assessing regulatory inquiries, developing responses, and overseeing production.
• Effectively correspond with applicable regulatory agencies. This may include state securities or insurance departments, the SEC, or FINRA.
• Provide direct support of the VFA AML program and function as the primary delegate performing assessments on behalf of the MLRO.
• Conduct in-depth analysis and research of complex compliance related issues and drive results/decisions to implement necessary resolution.
• Recommend new policies and procedures.
• Provide direction and support to business partners on compliance policies and procedures.
• Maintain related internal compliance materials, such as standard operating procedures and job aids, for areas of responsibility.
• Participate in business and compliance related projects, surface issues and report back to senior management.
• Continually find potential key compliance risks for reporting to compliance management.

 Skills and Competencies:

Voya’s law and compliance professionals aspire, individually and collectively, to actively take part in Voya’s growth strategy as trusted advisers to the business and enablers of growth, with a focus on customer-centric innovation and consistent execution. We seek like-minded professionals with the following demonstrated skills and competencies:

• Initiative-taking and practical attitude
• Strong verbal and written communication skills
• Curiosity about our business and industry
• Agile and creative approach to problem solving.
• Collaborative collaborator
• Growth mindset and ability to gain new areas of expertise.

Minimum Knowledge & Skills:

• Bachelor's Degree or equivalent experience
• Five to seven years relevant experience in compliance management or related/relevant industry experience.
• Required FINRA registrations (S7/S24)
• Strong knowledge and understanding of annuity products, securities, and investment advisory products.
• Ability to make independent assessments and present thoughtful, risk-based decisions with limited support.
• Ability to provide strategic leadership and vision with a focus on continually evolving the compliance framework.
• Ability to prioritize assignments and support and/or exceed established processing periods with limited supervision.
• Demonstrated ability to work across business lines and/or departments for continuous improvement opportunities and to develop and implement risk mitigation activities.
• Ability to learn from mistakes and apply learnings to future situations.

#LI-KD1

#LI-Remote

Compensation Pay Disclosure:

Voya is committed to pay that’s fair and equitable, which means comparable pay for comparable roles and responsibilities.

The below annual base salary range reflects the expected hiring range(s) for this position in the location(s) listed. In addition to base salary, Voya offers incentive opportunities (i.e., annual cash incentives, sales incentives, and/or long-term incentives) based on the role to reward the achievement of annual performance objectives. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Voya Financial is willing to pay at the time of this posting.

Actual compensation offered may vary from the posted salary range based upon the candidate’s geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

$103,810 - $129,760 USD

Be Well. Stay Well.

Voya provides the resources that can make a difference in your lives. To us, this means thriving physically, financially, socially and emotionally. Voya benefits are designed to help you do just that. That’s why we offer an array of plans, programs, tools and resources with one goal in mind: To help you and your family be well and stay well.

What We Offer

• Health, dental, vision and life insurance plans
• 401(k) Savings plan – with generous company matching contributions (up to 6%)
• Voya Retirement Plan – employer paid cash balance retirement plan (4%)
• Tuition reimbursement up to $5,250/year
• Paid time off – including 20 days paid time off, nine paid company holidays and a flexible Diversity Celebration Day.
• Paid volunteer time — 40 hours per calendar year

Learn more about Voya benefits (download PDF)

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

Equal Employment Opportunity

Voya Financial is an equal-opportunity employer. Voya Financial provides equal opportunity to qualified individuals regardless of race, color, sex, national origin, citizenship status, religion, age, disability, veteran status, creed, marital status, sexual orientation, gender identity, genetic information, or any other status protected by state or local law.