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. 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.
Opportunity
As a Principal Review Supervisor, 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
- 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
Skills
- Customer Focused
- Critical Thinking
- Team Mentality
- Business Acumen
- Learning Agility
Benefits
- Health, dental, vision and life insurance plans
- Voya 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
- Misuse of Voya's name in fraud schemes
Pay
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.
Schedule
Not specified
Location
Not specified