Principal Review Supervisor

Voya Financial • CT-Work@Home, Connecticut, MA

1d • $56,670 - $86,590

About The Position

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. You will be responsible for principal review and approval of securities account transactions, including new accounts and ongoing activity, for assigned Representatives, while delivering timely, risk-based supervision aligned to firm SLAs and regulatory expectations.

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
• Series 53 (Series 52 may also be required) OR obtained within 1 year
• Strong working knowledge of FINRA, SEC, and state regulatory frameworks
• Proficiency in Microsoft Office and supervisory systems

Nice To Haves

• 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

Responsibilities

• Review and approve new account activity, daily transactions, and ongoing account changes for assigned Representatives to ensure alignment with firm policies and regulatory requirements
• 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, Financial planning activities
• Provide ongoing guidance to Representatives on regulatory requirements, firm policies, product considerations, and licensing standards
• Support daily transaction processing and manage review queues to meet SLAs while maintaining quality and consistency
• Partner with Compliance, Operations, and leadership to address emerging risks, support audits, and contribute to process improvements
• Support a growing supervisory team by identifying efficiencies, enhancing workflows, and contributing to a culture of accountability and continuous improvement

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: Principal