AVP Investment Compliance Officer

Job description

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 This role, based in San Diego, CA, is primarily responsible for monitoring client portfolios for compliance with applicable regulatory requirements and client-specific investment guidelines. The successful candidate will demonstrate sound judgment, a strong risk-based mindset, and the ability to develop practical solutions to complex compliance matters while supporting business objectives. The role requires extensive interaction with investment professionals, legal, operations, technology, and other business stakeholders. The ideal candidate will possess strong analytical and critical-thinking skills, a high level of personal accountability, and the ability to prioritize competing responsibilities in a fast-paced environment. A commitment to continuous improvement, attention to detail, and the ability to maintain the highest standards of confidentiality and professionalism are essential. The individual will be expected to take ownership of key compliance processes, drive initiatives that enhance the effectiveness of the compliance program and collaborate across functions to address emerging risk and resolve complex issues. In addition, the candidate will actively contribute to strategic projects and other departmental initiatives in support of the firm's broader compliance and business objectives. The Contributions You’ll Make: Lead and oversee portfolio compliance surveillance activities on both a pre-trade and post-trade basis to monitor adherence to regulatory requirements and client investment guidelines. Design, implement, and enhance compliance surveillance tools and monitoring processes to mitigate risk, improve controls, and drive operational efficiencies. Identify, investigate, document, and facilitate the resolution of compliance exceptions, trading errors, and guideline breaches. Escalate issues in accordance with firm policies and provide recommendations for corrective actions and process enhancements. Assist in the development, implementation, periodic review, and testing of compliance policies, procedures, and controls. Communicate findings and recommend enhancements to strengthen the compliance program. Serve as a trusted compliance advisor to investment professionals, traders, and business partners by providing guidance on investment restrictions, regulatory requirements, fiduciary obligations, and client-specific guidelines. Lead or support the implementation, enhancement, testing, and ongoing administration of compliance and portfolio management systems. Identify and leverage technology solutions to improve monitoring capabilities, scalability, and operational effectiveness. Review and interpret investment management agreements, prospectuses, offering documents, and client guideline materials to assess regulatory and contractual requirements and establish effective compliance monitoring methodologies, including automated rule coding. Partner with vendors and internal operations and technology teams to develop, maintain, and optimize automated compliance monitoring tools, reporting, and surveillance capabilities. Oversee compliance-related client reporting for assigned portfolio groups, ensuring accuracy, completeness, and timely delivery. Provide leadership, mentorship, and training to junior compliance professionals, including oversight of work quality, professional development, and performance feedback. Maintain a thorough understanding of applicable securities laws, regulatory developments, firm policies, and industry best practices, and ensure adherence to all applicable requirements. Develop and maintain a deep understanding of the firm's investment products, strategies, and business activities, and contribute to the ongoing administration and enhancement of the firm's compliance program. Lead and participate in strategic initiatives, regulatory change management efforts, examinations, audits, and other special projects. Contribute to the achievement of departmental and enterprise-wide objectives. Minimum Knowledge and Experience Bachelor's degree or equivalent. A minimum of seven years of investment management compliance experience. Proficiency with automated compliance monitoring systems and rule coding (e.g., BlackRock’s Aladdin, Bloomberg AIM, etc.). Working knowledge of relevant securities laws, industry practices, and regulations, including Investment Advisers Act of 1940, the Investment Company Act of 1940, and other applicable SEC rules and regulations. Experience supporting a broad range of investment products, strategies, and asset classes. Knowledge of global investment products and non-U.S. regulatory frameworks (e.g., Luxembourg, Taiwan, EU, UK, and Hong Kong). Excellent verbal and written communication skills, with the ability to influence and advise stakeholders. Proven ability to manage multiple priorities, meet deadlines, and maintain a high degree of accuracy and attention to detail. Strong technology skills, including proficiency with Excel and the ability to quickly learn and leverage new systems and tools. Experience managing or mentoring compliance professionals and leading cross-functional initiatives. #LI-KD1 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. $104,000 - $130,000 USD 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