Principal Review Supervisor

Purpose

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.

About the role

You will play a critical role in safeguarding the firm and supporting advisor success by ensuring all client account activity meets regulatory, suitability, and firm policy standards. This role sits at the center of a growing supervisory team, balancing risk management, advisor enablement, and operational execution.

Responsibilities

• Review and approve new account activity, daily transactions, and ongoing account changes for assigned Representatives, while delivering timely, risk-based supervision aligned to firm SLAs and regulatory expectations.
• 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, and Financial planning activities.

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
• OR obtained within 1 year
• Strong working knowledge of FINRA, SEC, and state regulatory frameworks
• Proficiency in Microsoft Office and supervisory systems

Preferred Knowledge & Experience

• Experience with FIS SCM or similar surveillance/review platforms
• Exposure to multi-product supervision across advisory and brokerage businesses
• Demonstrated ability to balance risk management with service delivery

Qualifications

• Minimum of 2–4 years of experience in brokerage operations, supervision, or compliance
• Active FINRA Series 7 and Series 24 licenses
• Strong working knowledge of FINRA, SEC, and state regulatory frameworks
• Proficiency in Microsoft Office and supervisory systems
• Experience with FIS SCM or similar surveillance/review platforms
• Exposure to multi-product supervision across advisory and brokerage businesses
• Demonstrated ability to balance risk management with service delivery

Skills

• Customer Focused
• Critical Thinking
• Team Mentality
• Business Acumen
• Learning Agility

Benefits

Health, dental, vision and life insurance plans
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
Misuse of Voya's name in fraud schemes

Pay

Annual base salary range: $56,670 – $86,590
Actual compensation offered may vary based on location, work experience, education, licensure requirements and/or skill level.

Schedule

Not specified