New job Compliance Analyst in Connecticut

Compliance Analyst

Company : Voya Financial
Salary : Details not provided
Location : Connecticut

Full Description

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Position Summary:

****We are currently seek 3 Compliance Analysts. Please see JR0023698 & JR0023699 as well****

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.

Position Description:

Involved in most if not all of the following activities depending on business unit, to ensure compliance with laws and regulations:

  • Analyze and interpret laws and regulations in collaboration with legal to determine impact on new and existing policies, products, procedures and services.
  • Effectively communicate regulatory and procedural changes and important issues to affected business unit(s), field and customers, and build relationships with business partners.
  • Assist in researching, drafting and reviewing insurance or securities communications.
  • Correspond with customers and appropriate government agencies. This may include insurance departments, SEC, or FINRA.
  • Research and respond to complaints and/or inquiries received from customers and/or regulatory agencies.
  • Support multiple broker dealers with compliance matters.
  • Interpret policies and procedures for field or internal business partners to assist in resolving conflicts.
  • Monitor trading activities of the affiliated broker/dealers.
  • Maintain internal compliance materials such as manuals and websites.
  • Monitor and review business transactions for suspicious activity, red flags, fraud, and/or other questionable behavior.
  • Participate in business and compliance related projects, surface issues and report back to management on topics related to projects.
  • Monitor activities for key compliance risks.
  • Other duties as assigned.

May also be responsible for:

  • Review and approve insurance/securities communications for compliance with applicable laws, regulations, and internal policies.
  • Effectively communicate regulatory requirements and internal policies to business partners and integral parties.
  • Build relationships with business partners and regulatory contact advertising contacts.
  • Strives for consistency and timeliness of assigned reviews on an ongoing basis.

Knowledge & Experience:

  • Bachelor's Degree or equivalent experience.
  • Three years relevant experience in compliance or related/relevant industry experience.
  • FINRA registrations (e.g., S6, S26, S7, S24, S53, S65) may be necessary for certain products/business lines.
  • Strong verbal and written communication skills.
  • Ability to manage high volumes under tight deadlines while maintaining accuracy and minimizing risk to the company.
  • Moderate leadership required. Ability to assist business partners with consistent results.
  • Takes ownership for issues throughout the resolution process.
  • Gathers necessary information to assess each situation.
  • Confirms next steps and deadlines to ensure consistent follow through and follow up as needed; keep customers informed of progress.
  • Takes responsibility for errors and applies new knowledge to next situation.

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.

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