Sr. Compliance Analyst

Posted on Nov 13, 2018 by Voya Financial

Braintree, MA 02184
Immediate Start
Annual Salary
Location: MA-Braintree, 30 BraintreeHill

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Profile Summary

We are seeking a Sr. Compliance Analyst to join our Compliance Organization in our Des Moines, IA or Windsor, CT offices

Profile Responsibilities

  • 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.



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.

Reference: 569309852

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