New job Compliance Analyst in Connecticut
Company : Voya Financial
Salary : Details not provided
Location : Connecticut
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****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.
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.
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.