Compliance Analyst - Advisory Services (Boston)

Join Voya Financial

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.

Are you ready to join a company with a strong purpose and a winning culture? Start your Voyage

Get to Know the Opportunity :

To ensure that all products, procedures, contracts, and services comply with state and federal laws, rules and regulations, and internal standards. This may include Federal and State Insurance Boards, and / or SEC and FINRA Regulations. This position may work in the area of insurance, contract review, and / or securities.

This position has been designated as an essential worker and requires work to be performed full-time in your assigned office. Office location Greater Boston area.

The Contributions You'll Make :

• Performing delegated supervisory activities, oversight, surveillance and exception reporting research and review, maintenance of branch-level supervisory books and records.
• Assisting managers as needed with assigned day to day compliance / oversight tasks and responsibilities to ensure branch office compliance with Firm policies as well as SEC, FINRA and state securities and insurance rules and regulations.
• Helping draft, revise and enforce new and existing policies and procedures and communicates branch-level policy to sales managers and registered representatives.
• Assist the OSJ Oversight Director with special projects as required.

Minimum Knowledge & Experience :

Preferred Knowledge & Experience :

Voya is committed to pay that's 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. Actual compensation offered may vary from the posted salary range based upon the candidate's 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. $65,980 - $82,470 USD

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. That's 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 :

At Voya, we have identified the following critical skills which are key to success in our culture :

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.

Voya is committed to the inclusion of all qualified individuals. As part of this commitment, Voya will ensure that persons with disabilities are provided reasonable accommodations. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and / or to receive other benefits and privileges of employment, please reference resources for applicants with disabilities.