Compliance Officer

1 week ago

New York, New York, United States Voya Financial Full time
Job Summary

Voya Financial is seeking a highly skilled Compliance Officer - Equity Specialist to join our team. As a key member of our compliance department, you will be responsible for monitoring client portfolios for compliance with securities laws and client guidelines.

Key Responsibilities
  • Provide portfolio surveillance support on both a pre- and post-trade basis.
  • Create new surveillances to reduce risks and improve efficiencies.
  • Identify and facilitate the resolution and documentation of trading errors.
  • Assist in the authoring, implementation, and testing of policies and procedures.
  • Report findings and recommend improvements.
  • Assist investment professionals and traders with day-to-day compliance advice and interpretation of investment guidelines.
  • Assist in implementation and testing of compliance and portfolio management systems.
  • Create new processes utilizing technology to improve efficiencies.
  • Review client investment management agreements and guideline documents to determine effective monitoring processes, including developing compliance rules in automated compliance systems.
  • Coordinate with vendors and/or operations and technology departments to create, maintain and monitor automated compliance reports.
  • Facilitate client reporting for assigned portfolio groups.
  • Provide leadership and oversight for team of more junior compliance analysts.
  • Responsible for understanding and complying with firm policies and procedures while performing the role outlined above.
  • Understand products and strategies and help administer the firm's compliance program.
  • Participate in and/or manage special projects as assigned and assist with completion of overall departmental goals.
Requirements
  • Bachelor's Degree or equivalent.
  • A minimum of ten years' relevant experience in investment management compliance.
  • Proficiency in monitoring trading and coding compliance systems (e.g., BlackRock's Aladdin, Bloomberg, etc.) a must.
  • Working knowledge of relevant securities laws, industry practices, and regulations, including Investment Advisers Act of 1940, the Investment Company Act of 1940, and SEC rules and regulations.
  • Knowledge of offshore products and regulatory regimes would be an advantage (e.g., Luxembourg, Taiwan, UK, and Hong Kong).
  • Significant compliance experience across a broad range of products and investment management disciplines.
  • Creative and a forward thinker possessing a willingness to generate, share and implement ideas.
  • Demonstrated ability to collaborate with individuals across business and/or functional lines required.
  • Confident personality with strong verbal and written communication skills.
  • Broad, long-range approach to understanding emerging trends to plan ahead effectively.
  • Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
  • Strong Excel and technology skills or ability to learn them quickly.
What We Offer
  • Health, dental, vision and life insurance plans.
  • 401(k) Savings plan – with generous company matching contributions (up to 6%).
  • Voya Retirement Plan – employer paid cash balance retirement plan (4%).
  • Tuition reimbursement up to $5,250/year.
  • Paid time off – including 20 days paid time off, nine paid company holidays and a flexible Diversity Celebration Day.
  • Paid volunteer time — 40 hours per calendar year.

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