Compliance Consultant - Wealth Management

OverviewTogether we fight for everyone’s opportunity for a better financial future. We will do this together — with customers, partners and colleagues. We will fight for others, not against: We will stand up for and champion everyone’s access to opportunities. The status quo is not good enough … we believe every individual and every community deserves access to financial opportunities. We are determined to support both individuals and communities in reaching a better financial future. We know that reaching this future depends on our actions today. Like our Purpose Statement, Voya believes in being bold and committed to action. We are committed to a work environment where the differences that we are born with — and those we acquire throughout our lives — are understood, valued and intentionally pursued. We believe that our employees own our culture and have a responsibility to foster an environment where we all feel comfortable bringing our whole selves to work. Purposefully bringing our differences together to positively influence our culture, serve our clients and enrich our communities is essential to our vision.Are you ready to join a company with a strong purpose and a winning culture? Start your Voyage – Apply NowPosition SummaryVoya Financial is seeking a Compliance Consultant for Voya Financial Advisors (VFA), Voya’s retail Broker-Dealer and Registered Investment Advisor. The role will primarily focus on providing day-to-day compliance support for VFA’s phone-based sales channel, as well as being the primary support for VFA’s digital direct to consumer business line.Position DescriptionThe Compliance Consultant will lead or partner with others in executing on the following activities to ensure compliance with laws and regulationsProvide dedicated Compliance support to VFA’s phone sales channel and direct-to-consumer digital experience.Participate in business and compliance related projects, surface issues and report back to senior terpret applicable regulations to assist in resolving conflicts and recommending solutions.Review, and suggest applicable changes for, procedures for business areas directly supported.Facilitate regular meetings with management of the supported business areas.Provide support in the coordination of the broker-dealer training program, through identification of training opportunitiesConduct in-depth analysis and research of complex compliance related issues and drive results/decisions to implement necessary resolution.Recommend new policies and procedures.Contribute and participate in the fulfillment of annual risk assessmentsProvide direction and support to business partners on compliance policies and procedures.Maintain related internal compliance materials, such as standard operating procedures and job aids, for areas of responsibility.Continually identify potential key compliance risks for reporting to compliance management.Support other Compliance work as assigned.Skills and CompetenciesVoya’s law and compliance professionals aspire, individually and collectively, to actively participate in Voya’s growth strategy as trusted advisers to the business and enablers of growth, with a focus on customer-centric innovation and consistent execution. We seek like-minded professionals with the following demonstrated skills and competencies:Proactive and practical attitudeStrong verbal and written communication skillsCuriosity about our business and industryAgile and creative approach to problem solvingCollaborative team playerGrowth mindset and ability to gain new areas of expertiseKnowledge & ExperienceBachelor/'s Degree or equivalent experienceFive years relevant experience in broker-dealer/investment advisory compliance or related/relevant industry experience.Requires FINRA Series 7, with willingness to pursue additional licensure; a FINRA Series 24 license is a plusStrong knowledge and understanding of annuity products, securities, and investment advisory productsAbility to make independent assessments and present thoughtful, risk-based decisions with limited supportAbility to provide leadership and vision with a focus on continually evolving the compliance frameworkProven ability to prioritize assignments and maintain and/or exceed established processing time frames with limited supervisionDemonstrated ability to work across business lines and/or departments for continuous improvement opportunities and to develop and implement risk mitigation activitiesAbility to learn from mistakes and apply learnings to future situations.This position will have in-office pensation Pay Disclosure:Voya is committed to pay that’s fair and equitable, which means comparable pay for comparable roles and responsibilities.The below annual base salary range reflects the expected hiring range(s) for this position in the location(s) listed. In addition to base salary, Voya offers incentive opportunities (i.e., annual cash incentives, sales incentives, and/or long-term incentives) based on the role to reward the achievement of annual performance objectives. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Voya Financial is willing to pay at the time of this posting.Actual compensation offered may vary from the posted salary range based upon the candidate’s geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.$100,000 - $126,000Be Well. Stay Well.Voya provides the resources that can make a difference in your lives. To us, this means thriving physically, financially, socially and emotionally. Voya benefits are designed to help you do just that. That’s why we offer an array of plans, programs, tools and resources with one goal in mind: To help you and your family be well and stay well.What We OfferHealth, dental, vision and life insurance plans401(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/yearPaid 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 yearLearn more about Voya benefits (download PDF)Critical SkillsAt 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 SkillsEqual Employment OpportunityVoya Financial is an equal-opportunity employer. Voya Financial provides equal opportunity to qualified individuals regardless of race, color, sex, national origin, citizenship status, religion, age, disability, veteran status, creed, marital status, sexual orientation, gender identity, genetic information, or any other status protected by state or local law.Reasonable AccommodationsVoya is committed to the inclusion of all qualified individuals. As part of this commitment, Voya will ensure that persons with disabilities are provided reasonable accommodations. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please reference resources for applicants with disabilities.Misuse of Voya/'s name in fraud schemes #J-18808-Ljbffr

Created: 2025-09-17