Vice President and Chief Counsel, Wealth Management
Voya Financial
Compliance, Governance and Operations Manager
TD
full-time
Posted on:
Origin: • 🇺🇸 United States
Visit company websiteSalary
💰 $86,840 - $139,360 per year
Job Level
SeniorLead
About the role
- Lead development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events
- Manage day-to-day operations while helping design and implement a forward-thinking compliance program
- Provide governance oversight through management of policy and training exemption governance and reporting processes
- Prepare summaries, presentations, briefing notes, and other documentation to report on Compliance program status
- Participate in/manage regulatory examinations and external/internal audits related to CGO portfolio
- Deliver subject matter expertise and Compliance advice to business Compliance partners
- Conduct research, analysis, and assessment of Compliance program activities and make recommendations
- Lead cross-functional teams or projects with significant resources, risk, or complexity
Requirements
- Undergraduate degree or equivalent work experience
- 7+ years of experience
- Demonstrated business writing abilities
- Experience responding to client complaints within a bank or broker-dealer
- Experience reviewing and providing guidance on advertising and marketing materials for a broker-dealer/bank
- Prior testing, audit or business operations experience in areas involving regulatory compliance
- Detail oriented and well-developed organizational, time management and project management skills
- Ability to manage multiple tasks and competing priorities
- Proficiency with Microsoft Office applications
- FINRA license Series 7, 63 &24
- Life and Health insurance license
- Experience working with in the banking trust and investment area; especially with in the OCC regulatory frame work
