New job Compliance Analyst in Connecticut

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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.