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We are seeking a Compliance Analyst to join Voya Financial in our Windsor, CT or Des Moines, IA location.
Profile Responsibilities:
* Responsible for surveillance / compliance activities within Broker Dealer areas
* Monitor activity and deliver reports utilized to maintain compliance with firm policies and regulatory requirements and suggest enhancements
* Deliver risks/metrics for reporting to management and suggest additions in light of future regulatory developments
* Surveillance reports for a dual-registered broker-dealer and investment advisor, including transaction, replacement, churning, share class discounts, concentration and reverse churning reports among others
* Adhering to compliance surveillance department processes and procedures as needed
* Other special projects as assigned
Knowledge & Experience
* Bachelor's degree in business related discipline preferred
* Series 7 & 24 registrations are required
* Minimum 2-3 years or relevant professional experience
* Excellent interpersonal, communication and teamwork skills
#CB
#LI-RC1
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.
Associated topics: attorney, company, compliance, compliance office, corporate attorney, counsel, court, internal, legal, llp

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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