Principal Review Supervisor

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

Get to Know the Opportunity:    

****Currently have an opening on the team****

Voya Financial is offering a hiring incentive of $10,000 to qualified, full time hires for the Principal Review Supervisor opportunity.  Terms and conditions apply.

Responsible for the principal review and approval of securities accounts’ transactions including new accounts and daily transactions for assigned Representatives.  

Please Note: This position allows remote work from home but will require travel to our Voya office as business requires. 

The Contributions You’ll Make:

• Supervise assigned Representatives by reviewing and approving account activities including new accounts and subsequent transactions. Conducts other supervisory or operations functions as assigned.
• Directly oversees assigned representatives by reviewing and approving customer new accounts, daily transactions, and on-going activity. Conduct customer account reviews to detect potential sales abuses. Discuss compliance concerns or potential violations with representatives. Work with the Compliance Department as needed to address regulatory concerns.
• Provide education and training to Representatives concerning regulatory, corporate and legal requirements, general product offerings, licensing issues as well as internal processes & procedures.
• Assist with the processing of daily transactions. Provide Principal review and approval of transactions while working within firm’s established suitability guidelines and time frames.
• Provide Principal review and approval on variety of business types: mutual funds, annuities, variable life insurance, 529 plans, financial planning, advisory and brokerage transactions .
• Other duties as assigned, including other supervisory and/or operations functions.

Minimum Knowledge & Experience:   

• Bachelor’s Degree in Finance or Business Related Field, or equivalent work experience
• Two to four years applicable experience
• FINRA Series 7 and Series 24 required, Series 52 (Series 53 will be required within 6 months; FINRA Series 4 may be required in the future depending on the business need.)
• Working knowledge of internal, securities & state rules and regulations
• Strong PC Skills

Preferred Knowledge & Experience:

• Experience with Protegent 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)