Broker Dealer Oversight Manager

Voya Financial • Hartford, CT

5d • Onsite

About The Position

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 – Position Summary: Currenntly have 2 openings on this team The Broker Dealer Oversight Manager leads the development, maintenance, and governance of our broker-dealer Written Supervisory Procedures (WSPs) and drives process improvement initiatives across advisory, brokerage, alternatives, and annuity products. This individual contributor role is critical to ensuring regulatory compliance, operational efficiency, and a strong supervisory framework. They serve as the subject matter expert for WSPs, partner with cross-functional teams, and manage projects that enhance controls, streamline workflows, and support business growth—all while maintaining audit readiness and regulatory alignment. Please Note: This is a four-day per week in-office position in our Windsor, CT or Boston, MA office located on the Seaport.

Requirements

• Bachelor’s degree required; advanced degree preferred.
• FINRA Series 7 and 24 required (must be active).
• 5+ years in broker-dealer compliance, supervision, or operations.
• Strong knowledge of advisory, brokerage, alternatives, and annuity products.
• Proven experience managing WSPs and regulatory change initiatives.
• Deep understanding of FINRA/SEC rules, Reg BI, AML/BSA, books & records.
• Process improvement expertise (Lean/Six Sigma preferred).
• Excellent documentation, project management, and stakeholder communication skills.

Nice To Haves

• PMP or Six Sigma certification

Responsibilities

• Own the full lifecycle of WSPs: drafting, updating, version control, and publishing.
• Translate FINRA, SEC, and MSRB regulations into practical, actionable procedures.
• Maintain a centralized repository for policies and procedures with strong governance.
• Monitor regulatory changes and assess impacts on supervisory procedures.
• Lead implementation plans for updates across advisory, brokerage, alternatives, and annuities.
• Act as program manager for compliance initiatives, ensuring timely delivery and stakeholder alignment.
• Map current-state processes and identify gaps or inefficiencies.
• Apply Lean/Six Sigma principles to redesign workflows and reduce risk.
• Partner with Technology to implement automation and digital solutions.
• Coordinate control testing routines and remediation plans.
• Prepare documentation and evidence for regulatory exams and audits.
• Develop clear SOPs and job aids aligned with WSPs.
• Support training and adoption across home office and field teams.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Number of Employees: 251-500 employees