Compliance Analyst-Investment Advisory Jobs

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 – Apply Now

Get to Know the Opportunity:

The Compliance Analyst will be a key compliance contact for all broker and counterparty compliance requests. Specifically, the Compliance Analyst will be responsible for assisting in ensuring that all new brokers and existing brokers are approved in accordance with Voya Policies and Procedures and applicable regulation. The Compliance Analyst will also be responsible for gathering, organizing and delivering data and documentation supporting new client onboarding and account maintenance functions as necessary to facilitate the timely set up and maintenance of client accounts with dealers for derivatives trading (OTC and cleared derivatives, futures, and TBAs) in satisfaction of dealers’ internal credit and know-your-client (KYC) policies, as well as regulatory compliance purposes (Dodd Frank, EMIR, CFTC Rules, Anti-Money Laundering (AML), etc.). The Compliance Analyst will also assist in the monitoring for Shareholding Disclosure Reporting requirements and other regulatory filings.

The Contributions You’ll Make:

Minimum Knowledge & Experience:

Preferred Knowledge & Experience:

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Compensation Pay Disclosure:

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. 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 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.

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. 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

Critical Skills

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

Equal Employment Opportunity