Senior Compliance Officer

The Compliance Search   •  

New York, NY

Industry: Staffing & Recruiting


5 - 7 years

Posted 297 days ago

This job is no longer available.


Voya Investment Management (Voya IM) is a leading active asset management firm. As of June 30, 2017, Voya IM manages approximately $224 billion for affiliated and external institutions as well as individual investors. Drawing on over 40 years of experience and an ongoing commitment to reliable investing, Voya IM has the resources and expertise to help long-term investors achieve strong investment results.

This position will be responsible for performing portfolio surveillance to ensure that the firm maintains compliance with client guidelines and regulatory requirements. The position is a critical element of the Voya Investment Management Compliance Program.

Principal Responsibilities include:

  • Monitor and review client portfolio transactions for affiliated transactions or any activity that does not follow client guidelines, firm policy or applicable regulatory requirements.
  • Identify and facilitate the resolution and documentation of trading errors. Report all errors and exceptions to the VP of Compliance and CCO.
  • Review client guidelines and corresponding account coding in the portfolio compliance system.
  • Analyze and interpret securities related law and regulations in cooperation with legal to determine impact on new and existing policies, products, procedures and services.
  • Effectively communicate regulatory and procedural changes to relevant personnel.
  • Participate in business and compliance related projects, surface issues and report back to management on topics related to projects.
  • Other duties as assigned.

Desired Knowledge, Skills and Abilities:

  • Bachelor’s Degree or equivalent.
  • Five years’ relevant experience in investment advisory compliance or related/relevant industry experience.
  • Confident personality with strong verbal and written interpersonal skills.
    • Creative and a forward thinker possessing a willingness to generate, share and implement ideas.
  • Broad, long-range approach to understanding emerging trends to plan ahead effectively.
  • Flexible, consultative, collaborative working style with the ability to inspire change.
  • Ability to manage high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
  • Working knowledge of trading and compliance systems (e.g., BlackRock, Charles River, etc.) highly desirable.
  • Strong Excel and technology skills or ability to learn them quickly.

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.