VP, Compliance Officer

Together we fight for everyones 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 everyones 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 the Know the Opportunity

This role will be primarily responsible for monitoring client portfolios for compliance with securities laws and client guidelines. Candidate must display sound business judgment in driving results and creating and implementing creative business solutions to complex compliance issues. The candidate will be expected to interact with the lines of business, legal, investments, trading, operations, and technology departments. This position requires strong ownership of the learning process, prioritization and substantial analytic skills and an ability to drive positive change. This position requires the individual to exercise sound judgment, attention to detail, and to observe the highest degree of confidentiality and accuracy in the handling of information received in the course of discharging responsibilities. The individual will effectively and voluntarily take on additional roles and responsibilities including participating in projects and work closely with colleagues to solve problems.

The Contributions Youll Make:

• Provide portfolio surveillance support on both a pre- and post-trade basis. Create new surveillances to reduce risks and improve efficiencies.
• Identify and facilitate the resolution and documentation of trading errors. Report all errors and exceptions to the VP of Compliance and CCO.
• Assist in the authoring, implementation, and testing of policies and procedures. Report findings and recommend improvements.
• Assist investment professionals and traders with day-to-day compliance advice and interpretation of investment guidelines.
• Assist in implementation and testing of compliance and portfolio management systems. Create new processes utilizing technology to improve efficiencies.
• Review client investment management agreements and guideline documents to determine effective monitoring processes, including developing compliance rules in automated compliance systems.
• Coordinate with vendors and/or operations and technology departments to create, maintain and monitor automated compliance reports.
• Provide on-going support with respect to client reporting.
• Responsible for understanding and complying with firm policies and procedures while performing the role outlined above.
• Understand products and strategies and help administer the firm's compliance program.
• Participate in and/or manage special projects as assigned and assist with completion of overall departmental goals

Minimum Knowledge and Experience

• Bachelor's Degree or equivalent.
• A minimum of five years relevant experience in investment advisory compliance or related/relevant industry experience.
• Proficiency in monitoring trading and coding compliance systems (e.g., BlackRocks Aladdin, Bloomberg, etc.) a must.
• Working knowledge of relevant securities laws, industry practices, and regulations, including Investment Advisers Act of 1940, the Investment Company Act of 1940, and SEC rules and regulations.
• Knowledge of offshore products and regulatory regimes would be an advantage (e.g., Luxembourg, Taiwan, UK, and Hong Kong).
• Significant compliance experience across a broad range of products and investment management disciplines (especially fixed income).
• Creative and a forward thinker possessing a willingness to generate, share and implement ideas.
• Demonstrated ability to collaborate with individuals across business and/or functional lines required.
• Confident personality with strong verbal and written communication skills.
• Broad, long-range approach to understanding emerging trends to plan ahead effectively.
  11.Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
• Strong Excel and technology skills or ability to learn them quickly.

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Compensation Pay Disclosure:

Voya is committed to pay thats 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 candidates 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.

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. Thats 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.