Principal Review Supervisor

🕒 3 days ago

🌵 Arizona, Connecticut, +2 more states – Remote

🌵 Arizona – Remote 🦌 Connecticut – Remote 🐊 Florida – Remote 🌾 Iowa – Remote

💵 $56.7k - $86.6k / year

⏰ Full Time

🔴 Lead

✨ Principal

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Voya Financial

WebsiteLinkedInAll Job Openings

5001 - 10000 employees

Founded 1998

💼 Consulting

🏥 Healthcare

📣 Marketing

Consulting • Healthcare • Marketing

Voya Financial is a leading financial services company that provides a wide range of retirement, investment, and insurance products to help individuals, families, and institutions plan, invest, and protect their future. With a focus on retirement savings and workplace benefits, Voya connects benefits and savings to simplify financial experiences and enhance financial security. The company is committed to making a positive difference by serving others through its unique culture, and has been recognized for its values and customer-centric approach. Voya also engages in initiatives like the Voya Behavioral Finance Institute for Innovation to further its mission of transforming financial care in the workplace.

📋 Description

• Review and approve new account activity, daily transactions, and ongoing account changes for assigned Representatives to ensure alignment with firm policies and regulatory requirements • Conduct detailed account reviews to identify potential sales practice concerns, suitability issues, and emerging risk trends • Proactively escalate findings and partner with Compliance on regulatory matters • Communicate directly with Representatives to resolve deficiencies, address compliance concerns, and reinforce supervisory expectations • Provide timely and accurate principal approval across a broad range of business types, including: Annuities (Fixed, Variable, and RILA), Direct held mutual funds, Advisory and brokerage transactions, Variable life insurance, 529 plans, Financial planning activities • Provide ongoing guidance to Representatives on regulatory requirements, firm policies, product considerations, and licensing standards • Support daily transaction processing and manage review queues to meet SLAs while maintaining quality and consistency • Partner with Compliance, Operations, and leadership to address emerging risks, support audits, and contribute to process improvements • Support a growing supervisory team by identifying efficiencies, enhancing workflows, and contributing to a culture of accountability and continuous improvement

🎯 Requirements

• Bachelor’s degree in Finance, Business, or related field (or equivalent experience) • 2–4 years of experience in brokerage operations, supervision, or compliance • Active FINRA Series 7 and Series 24 licenses • Series 53 (Series 52 may also be required) OR obtained within 1 year • Strong working knowledge of FINRA, SEC, and state regulatory frameworks • Proficiency in Microsoft Office and supervisory systems

🏖️ Benefits

• 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