Licensing Specialist

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

Profile Summary:
Serve as a Licensing and Registration Specialist in our Broker Dealer Operations. 

Profile Description:

• Process new U4's with FINRA for new reps that are onboarding with Voya Financial Advisors, Voya Financial Partners, or Voya Investments Distributor
• Process U4 amendments including State Securities Registration, Branch Addresses, Home Addresses, Outside Business Activities, Advisory Applications and other U4 items
• Assist with all Broker Dealer maintenance, including but not limited to Continuing Ed, reviewing reports, insurance carrier appointments, bill pay, corporate insurance licenses, email operations, etc.
• Process U5's for reps that are terminating
• Process Renewals
• Email and communicate with reps directly as needed to assist with these processes
• Closely align with the recruiting organization and broker dealer operations teams to successfully onboard and transition into the firm.
• Serve as a content owner related to process and policy documentation; including Licensing and Registration owned Written Supervisory Procedures.
• Serve as a point of contact for internal and external business partners surrounding existing policies and procedures.
• Manage the update and removal of reference material, forms, and other documents presented to the financial professionals, state regulators, and internal business partners.
• Other duties as assigned.

Knowledge & Experience:

• Business experience in financial services preferably in FINRA licensing & registration
• Strong written and verbal communications skills with ability to influence and direct peers and business partners.
• Ability to identify opportunities to enhance operational platforms and systems.
• Technical aptitude and ability to learn how systems work/integrate with one another in order to identify opportunities to streamline processes.
• Strong organization and execution skills while being involved in multiple initiatives.
• Demonstrated analytical skills.
• Knowledge and understanding of Microsoft Suite; including Excel and PowerPoint. MS Access a plus.
• Prior knowledge and experience with FINPRO, NIPR, RegEd, Salesforce, BIG, and HIRERIGHT, preferred.
• Ability to independently work in a remote environment while hitting short- and long-term initiatives.
• Bachelor’s degree or equivalent experience
• FINRA series 6 or 7 preferred or a willingness to obtain upon hire.

#LI-MG1

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.