Voya Financial

AVP Compliance Officer- Equity Specialist


Employment typeFull-Time

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  • Job Description

      Req#: JR0029323

      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 – Apply Now

      Get To Know the Opportunity:

      This role is based in New York, NY and 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 processes, ability to prioritize, critical thinking, and an ability to drive positive change. This position also requires attention to detail and the ability 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.

      Please Note: This position has been designated as a hybrid-office/home role. Details of your in-office schedule will be finalized with your manager.

      The Contributions You’ll 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. Document and escalate all errors and exceptions per firm’s written policy.

      • 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.

      • Facilitate client reporting for assigned portfolio groups.

      • Provide leadership and oversight for team of more junior compliance analysts. This includes training oversight and assessment and reporting on performance.

      • 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 seven years’ relevant experience in investment management compliance.

      • Proficiency in monitoring trading and coding compliance systems (e.g., BlackRock’s 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.

      • 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.

      • 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.



      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.

      $99,510 - $124,390 USD

      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

      • 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.

      Reasonable Accommodations

      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.

      Misuse of Voya's name in fraud schemes

  • About the company

      Voya Financial is here to help you plan, invest and protect your savings to get ready to retire better. See how America’s Retirement Company can help you!