Compliance, Governance and Operations Manager
TD
Vice President and Chief Counsel, Wealth Management
Voya Financial
full-time
Posted on:
Origin: • 🇺🇸 United States
Visit company websiteSalary
💰 $230,000 - $250,000 per year
Job Level
Lead
About the role
- Serve as primary attorney advising Voya’s Wealth Management product and sales teams on legal issues related to retirement products and services
- Support strategic initiatives for current and new products while maintaining legal focus and protecting the Company
- Support regulatory compliance of Voya’s broker-dealer and registered investment advisor companies, including filings, examinations, and support of sales activities
- Advise and counsel business partners on product lifecycle, go-to-market strategies, and maintenance of products and features
- Draft policies and disclosures and advise on compliance with federal and state laws and regulations
- Support and advise on drafting and negotiation of commercial agreements
- Monitor and advise on regulatory matters and identify risk mitigation tactics
Requirements
- Bachelor’s Degree and Juris Doctor Degree from an accredited law school
- Member of good standing in at least one jurisdiction
- Minimum 10 years’ overall experience in the retirement industry, working with investment advisors, registered broker dealers, state insurance departments, variable and fixed investments
- In-depth knowledge of FINRA, SEC, DOL, and IRS regulations applicable to retail investment products and investment advisory activities
- Strong relationship management skills and ability to interact with all levels of the organization
- Strong oral and written communication and presentation skills
- Knowledge of Microsoft Office products (Word, Excel, PowerPoint) and MS Outlook
- Reliable, self-starter, detail-oriented, well-organized and able to manage multiple priorities and deadlines
