Compliance Consultant - Wealth Management

***** Together we fight for everyone’s opportunity for a better financial future.
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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.
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Position Summary:

Voya Financial is seeking a Compliance Consultant for Voya Financial Advisors (VFA), Voya’s retail Broker-Dealer and Registered Investment Advisor.  The role will primarily focus on providing day-to-day compliance support for VFA’s phone-based sales channel, as well as being the primary support for VFA’s digital direct to consumer business line.# Position

Description:

* The Compliance Consultant will lead or partner with others in executing on the following activities to ensure compliance with laws and regulations
** Provide dedicated Compliance support to VFA’s phone sales channel and direct-to-consumer digital experience.
* Participate in business and compliance related projects, surface issues and report back to senior management.
* Interpret applicable regulations to assist in resolving conflicts and recommending solutions.
* Review, and suggest applicable changes for, procedures for business areas directly supported.
* Facilitate regular meetings with management of the supported business areas.
* Provide support in the coordination of the broker-dealer training program, through identification of training opportunities
* Conduct in-depth analysis and research of complex compliance related issues and drive results/decisions to implement necessary resolution.
* Recommend new policies and procedures.
* Contribute and participate in the fulfillment of annual risk assessments
* 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.
* Continually identify potential key compliance risks for reporting to compliance management.
* Support other Compliance work as assigned.
** Skills and

Competencies:

** Voya’s law and compliance professionals aspire, individually and collectively, to actively participate 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:
* Proactive and practical attitude
* Strong verbal and written communication skills
* Curiosity about our business and industry
* Agile and creative approach to problem solving
* Collaborative team player
* Growth mindset and ability to gain new areas of expertise#
** Knowledge &

Experience:

*** Bachelor's Degree or equivalent experience
* Five years relevant experience in broker-dealer/investment advisory compliance or related/relevant industry experience.
* Requires FINRA Series 7, with willingness to pursue additional licensure; a FINRA Series 24 license is a plus
* 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 leadership and vision with a focus on continually evolving the compliance…