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Compliance Analyst-Advisory Services
| Company | Voya Financial |
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| Location | Quincy, MA, USA |
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| Salary | $65980 – $82470 |
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| Type | Full-Time |
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| Degrees | |
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| Experience Level | Junior, Mid Level |
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Requirements
- Relevant compliance or securities related experience with a broker/dealer, investment adviser and/or financial services firm.
- Excellent writing, oral and analytical skills.
- FINRA Series 7 and 24 registrations required.
- Ability to work independently and meet strict deadlines.
- Strong knowledge of securities and insurance rules and regulations.
- Strong knowledge and expertise of retirement plans, products and concepts.
- Strong aptitude with retail brokerage and advisory platforms.
- Strong prioritization, organization and time management skills.
Responsibilities
- 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.
Preferred Qualifications
- Series 65 or 66 – IAR Designation highly desirable (must be obtained within 3 months).
