Chief Compliance Officer - Voya Financial Advisors

Together 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 Now

Get to Know the Opportunity:

The Chief Compliance Officer for Voya Financial Advisors is responsible for the effective leadership of the compliance program for Voya Financial Advisors, Voya Financial’s retail broker-dealer and investment adviser. Duties include management of processes to establish, maintain, review, test, and modify policies and procedures designed to achieve compliance with applicable securities, privacy, anti-money laundering, and insurance laws, and SEC and FINRA rules. The CCO will serve as a principal adviser to senior management of Voya Financial Advisors and will lead a team of 11 Compliance professionals throughout the United States. The job can be located anywhere in the United States. The role reports to the enterprise Chief Compliance and Ethics Officer for Voya Financial. 

The Contributions You'll Make:

The ideal candidate will be a seasoned compliance professional with at least 10 years relevant experience in compliance, legal, and regulatory matters in the retail broker-dealer, investment advisor, and insurance arenas. A law degree or experience as a regulator with FINRA or the SEC, or a state securities or insurance department, will be valuable, but not required. Strong knowledge of the federal and state securities laws and regulations, and FINRA rules that govern the securities business is necessary. Knowledge of industry best practices and the ability to leverage technology are also important to this role.  

FINRA Series 7 and 24 licenses are required. 

Competencies Critical to Success in this Role 

• Ability to assess and enhance a retail broker-dealer and investment advisor compliance program, including annual assessments (3120, 206(4)-7, and Department of Labor PTE 2020-02), surveillance, enterprise inspection program, and field oversight programs are essential. 

• Provide strategic vision with a primary focus of continually evolving the compliance framework.  

• Effective in engaging business partners, employees, field representatives, other constituencies, and stakeholders at all levels and engendering trustl 

• Bias for action and a demonstrated track record in executing against objectives. 

• Ability to make independent assessments and present thoughtful decisions. 

• Demonstrated ability to manage complex issues requiring aptitude in balancing business objectives with effective and efficient solutions to manage compliance risks. 

• Proactive, result-oriented and willing to be held accountable. 

• Actively represent and participate in various committees. 

• Ability to manage multiple issues simultaneously and to handle ambiguity and accountability. 

• Ability to engage, motivate and inspire employees and retain talent. 

• Ability to effectively partner and collaborate with employees in all areas across the enterprise. 

• Active listener who also states positions in a practical, easily understood manner with respect to other employees or constituencies. 

Minimum Knowledge and Experience

Voya’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 attitude 

• Strong verbal and written communication skills 

• Curiosity about our business and industry 

• Agile and creative approach to problem solving 

• Collaborative team player 

• Growth mindset and ability to gain new areas of expertise 

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Compensation 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.

Be 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 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

Learn more about Voya benefits (download PDF)

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

Equal Employment Opportunity

Voya 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 Accommodations

Voya 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