Audit Senior Manager - Wealth Management presso Voya Financial

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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.

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Position Summary:

Position will have accountability for the organization, execution, planning and administration of audits within the Wealth Management Line of Business (LOB), directing the evaluation of controls, reviewing compliance with policies, procedures and regulations, and coordinating and directing reporting of results of audits for the LOB to Voya management.

Please Note: This position has been designated as a hybrid-office/home role with an expectation of 3 days a week in Voya's Boston office.

Position Description:

Technical

• Incorporate business concerns into planning requirements; advise segment management on emerging risks and best practices

• Manage the fieldwork of several audits simultaneously, ensuring that accurate and complete testing of key controls is performed in compliance with established departmental protocols and auditing standards

• Evaluate corrective measures taken to address unresolved matters, follow up on the progress being made to address unresolved control matters and prepare summary reports for the Wealth Management Business to executive management

• Monitor key business initiatives and provide insight pertaining to control issues and risk activities

• Coordinate with Internal Audit’s Professional Practice Management to schedule the Line of Business resources

• Build awareness of external leading practices and benchmarks to embed within the Internal Audit function for the Wealth Management LOB

Client

• Develop and manage relationship with LOB executives, external auditors, and regulators

• Ensure effective reporting of audit findings to the Audit Committee (AC) without impairing relationships with business unit management

• Develop strong working relationships with clients within the LOB to ensure a high degree of client satisfaction

• Coordinate audit activities with external auditors, Operational Risk Management, Compliance and SOX/FCR team to ensure there is no duplication of testing across teams.

Management

• Support Audit Director in achieving the vision and strategic objectives for the LOB

• Support Audit Director in scope and administration of a comprehensive internal audit plan for the LOB

• Manages and oversees work performed by senior and staff auditors

• Coach others on people management and development

• Help to develop careers through proactive approach to training and development (on and off the job)

• Help to develop in-audit training content and is capable of training delivery

• Able to build diverse teams

• Create and lead changes within Internal Audit organization

• Lead with passion and clarity by translating the Department’s vision into action plans and motivating Internal Audit members within the Wealth Management LOB

• Manage an effective working team and enable employee empowerment, succession planning, and career paths

• Identify and manage skills gaps through training and deployment for the LOB

• Supervise and direct special project or investigations

• Oversee and monitor the execution of audit procedures, ensuring that they are executed in an efficient and effective manner

• Responsible for the performance evaluation process of auditors within the LOB

Skills / Knowledge / Abilities:

• 10+ years of relevant work experience within the broker dealer, investment advisory, asset management industries. Relevant experience in a public accounting, consulting or internal audit environment will be strongly considered. 

• Bachelor’s degree with a major/minor or emphasis in Accounting, Finance or Business

• Advanced degree or professional certification (CPA, CIA, CISA, etc.) are required.

• Extensive knowledge and experience with product offerings within the Wealth Management industry such as mutual funds, exchange-traded funds, alternative investments, IRAs, annuities and financial planning services as well as broker dealer operations and compliance matters (FINRA, SEC) preferred.

• Proven track record in leading and managing an audit team with emphasis on leading practices in risk assessment, problem solving, and impactful reporting of audits.

• Proactively partners with the LOB business issues.

• Deep understanding of LOB strategy, products, operations, financials, executives, competition, and potential risk areas.

• Ability to translate LOB risk areas into specific projects within the audit plan.

• Ability to influence key clients with suggested audit solutions.

• Ability to lead, coach and advise team members.

• Manages across cultural and generational boundaries.

• Builds effective and collaborative peer-level relationships.

• Demonstrates strong analytical and problem-solving skills.

• Proactively identifies and resolves issues as they arise.

• Excellent written and verbal communication skills.

• Demonstrates and encourages continuous learning and sharing of best practices.

• Strong focus on continuous process improvement.

• Sound knowledge and understanding of Accounting/Financial Risk, Insurance Risk, Market & Credit Risk, IT Risk and Regulatory/Compliance Risk.

• Extensive knowledge of internal controls, business and IT processes, and IIA standards.

• Experience with data analysis (e.g., Power BI, Tableau) and AI/GenAI/AgenticAI tools (e.g. Copilot) preferred.

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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.