AVP Investment Compliance Officer

Join Voya: A Company With A Strong Purpose And Winning Culture

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.

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This role, based in San Diego, CA, is primarily responsible for monitoring client portfolios for compliance with applicable regulatory requirements and client-specific investment guidelines. The successful candidate will demonstrate sound judgment, a strong risk-based mindset, and the ability to develop practical solutions to complex compliance matters while supporting business objectives. The role requires extensive interaction with investment professionals, legal, operations, technology, and other business stakeholders.

The ideal candidate will possess strong analytical and critical-thinking skills, a high level of personal accountability, and the ability to prioritize competing responsibilities in a fast-paced environment. A commitment to continuous improvement, attention to detail, and the ability to maintain the highest standards of confidentiality and professionalism are essential. The individual will be expected to take ownership of key compliance processes, drive initiatives that enhance the effectiveness of the compliance program and collaborate across functions to address emerging risk and resolve complex issues.

In addition, the candidate will actively contribute to strategic projects and other departmental initiatives in support of the firm's broader compliance and business objectives.

• Lead and oversee portfolio compliance surveillance activities on both a pre-trade and post-trade basis to monitor adherence to regulatory requirements and client investment guidelines.
• Design, implement, and enhance compliance surveillance tools and monitoring processes to mitigate risk, improve controls, and drive operational efficiencies.
• Identify, investigate, document, and facilitate the resolution of compliance exceptions, trading errors, and guideline breaches. Escalate issues in accordance with firm policies and provide recommendations for corrective actions and process enhancements.
• Assist in the development, implementation, periodic review, and testing of compliance policies, procedures, and controls. Communicate findings and recommend enhancements to strengthen the compliance program.
• Serve as a trusted compliance advisor to investment professionals, traders, and business partners by providing guidance on investment restrictions, regulatory requirements, fiduciary obligations, and client-specific guidelines.
• Lead or support the implementation, enhancement, testing, and ongoing administration of compliance and portfolio management systems. Identify and leverage technology solutions to improve monitoring capabilities, scalability, and operational effectiveness.
• Review and interpret investment management agreements, prospectuses, offering documents, and client guideline materials to assess regulatory and contractual requirements and establish effective compliance…