Principal Review Supervisor

$53,970 - $89,960/Yr

VOYA Financial - Phoenix, AZ

Full-time - Mid Level

Remote - Phoenix, AZ

Insurance Carriers and Related Activities

About the position

Voya Financial is offering a hiring incentive of $10,000 to qualified, full-time hires for the Principal Review Supervisor opportunity. This position is responsible for the principal review and approval of securities accounts' transactions including new accounts and daily transactions for assigned Representatives. The role allows remote work from home but will require travel to our Voya office as business requires.

Responsibilities

• Supervise assigned Representatives by reviewing and approving account activities including new accounts and subsequent transactions.
• Conduct customer account reviews to detect potential sales abuses and discuss compliance concerns or potential violations with representatives.
• Provide education and training to Representatives concerning regulatory, corporate and legal requirements, general product offerings, licensing issues as well as internal processes & procedures.
• Assist with the processing of daily transactions and provide Principal review and approval of transactions while working within firm's established suitability guidelines and time frames.
• Provide Principal review and approval on a variety of business types: mutual funds, annuities, variable life insurance, 529 plans, financial planning, advisory and brokerage transactions.
• Perform other duties as assigned, including other supervisory and/or operations functions.

Requirements

• Bachelor's Degree in Finance or Business Related Field, or equivalent work experience
• Two to four years applicable experience
• FINRA Series 7 and Series 24 required, Series 53 and Series 52 will be required if Series 7 obtained after 2011; FINRA Series 4 may be required in the future depending on the business need.
• Working knowledge of internal, securities & state rules and regulations
• Strong PC Skills

Nice-to-haves

• Experience with Protegent preferred

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