Chief Compliance Officer - Voya Financial Advisors
VOYA Financial - Atlanta, GA
posted 2 days ago
About the position
The Chief Compliance Officer for Voya Financial Advisors is responsible for the effective leadership of the compliance program for Voya Financial Advisors, Voya Financial's retail broker-dealer and investment adviser. Duties include management of processes to establish, maintain, review, test, and modify policies and procedures designed to achieve compliance with applicable securities, privacy, anti-money laundering, and insurance laws, and SEC and FINRA rules. The CCO will serve as a principal adviser to senior management of Voya Financial Advisors and will lead a team of 11 Compliance professionals throughout the United States. The job can be located anywhere in the United States. The role reports to the enterprise Chief Compliance and Ethics Officer for Voya Financial.
Responsibilities
- Manage compliance processes to ensure adherence to securities, privacy, anti-money laundering, and insurance laws.
- Establish, maintain, review, test, and modify compliance policies and procedures.
- Serve as a principal adviser to senior management on compliance matters.
- Lead a team of compliance professionals across the United States.
- Engage with business partners and stakeholders to foster trust and collaboration.
- Assess and enhance the compliance program, including annual assessments and surveillance.
- Provide strategic vision for evolving the compliance framework.
- Represent and participate in various committees.
Requirements
- At least 10 years of relevant experience in compliance, legal, and regulatory matters in the retail broker-dealer, investment advisor, and insurance sectors.
- Strong knowledge of federal and state securities laws and regulations, and FINRA rules.
- FINRA Series 7 and 24 licenses are required.
- Ability to manage complex compliance issues and balance business objectives with compliance risks.
- Strong verbal and written communication skills.
Nice-to-haves
- Law degree or experience as a regulator with FINRA or the SEC, or a state securities or insurance department.
- Knowledge of industry best practices and technology leverage.
Benefits
- 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
