Broker Dealer Oversight Manager

Voya Financial • Hartford, CT

6d • Onsite

About The Position

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