Sr. Compliance Analyst
Posted on Nov 13, 2018 by Voya Financial
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We are seeking a Sr. Compliance Analyst to join our Compliance Organization in our Des Moines, IA or Windsor, CT offices
- Investigate and respond to customer complaints received directly or by way of FINRA, SEC and/or State Regulators, concerning a variety of products and services such as Variable Annuities, Brokerage, Advisory, REITs, DPPs, etc.
- Perform thorough research based on allegations outlined in the complaint.
- Provide outstanding customer service to both internal and external customers throughout the complaint resolution process.
- Evaluate complaints for required FINRA filings and ensure filings are completed accurately and on time.
- Communicate effectively with Representatives, Advisors, and OSJs throughout the complaint resolution process.
- Draft thorough, well written complaint responses.
- Maintain complete and accurate complaint files.
- Identify trends and improvement opportunities to address issues and mitigate future occurrences.
- Participate in regular communications to further educate internal and external business partners on trends and opportunities.
- Work directly with registered representatives to File U4 amendments on their behalf.
- Periodically present cases to broker/dealer management team for potential disciplinary decisions.
- Respond to requests from operational other internal business partners within specified timeframes.
- The candidate may also be involved in a variety of project related work as dictated by department needs.
Knowledge & Skills
- Bachelor's degree required.
- J.D. or other relevant graduate degrees helpful, but not required.
- FINRA Series 7 license required and Series 24 preferred (or obtained within 6 months).
- Knowledge of securities and variable annuity products preferred.
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.