Supervisory Principal

Voya Financial • Boston, MA

2d • Remote

About The Position

Voya Wealth Management is seeking a highly motivated Supervision Analyst to support principal trade review and supervisory oversight across its broker-dealer and registered investment adviser businesses. The role combines transaction-level review with advisor-level supervision and contributes to a modern, risk-based supervision program. The analyst applies regulatory judgment, identifies and escalates risk, partners with advisors and business teams, and ensures supervisory activities are completed accurately, consistently, and in accordance with regulatory and firm requirements. This role is fully remote, with no regular in-office requirement.

Requirements

• High school diploma or GED required; two years of experience with a high school diploma or GED may be considered in lieu of a bachelor's degree.
• Three years of relevant experience in compliance, supervision, financial services, or a related industry.
• Active FINRA Series 7 required.
• Experience supporting trade review, supervision, compliance, principal review, or related broker-dealer oversight activities.
• Knowledge of FINRA supervision requirements, Regulation Best Interest, suitability standards, and advisory oversight practices.
• Strong analytical and problem-solving skills, including the ability to identify risk and make well-supported decisions.
• Strong written and verbal communication skills and the ability to clearly communicate regulatory requirements and internal policies.
• Ability to manage high volumes and competing deadlines while maintaining accuracy and minimizing risk.
• Demonstrated ownership and follow-through when researching and resolving issues.

Nice To Haves

• Bachelor’s degree.
• FINRA Series 24, or ability to obtain it within a defined period.
• FINRA Series 66, or Series 65 and 63.
• Experience working across broker-dealer and registered investment adviser supervision.
• Experience reviewing multiple product types, including brokerage, advisory, managed accounts, annuities, insurance, fixed income, mutual funds, and options.
• Experience supporting regulatory examinations, internal audits, branch inspections, or advisory oversight testing.
• Experience contributing to process improvement, automation, or risk-based supervision initiatives.
• Ability to build effective relationships with advisors, Compliance, Operations, Licensing, field leadership, and other business partners.

Responsibilities

• Review and approve brokerage, advisory, managed account, insurance, annuity, fixed income, mutual fund, and options transactions.
• Evaluate suitability, Regulation Best Interest, documentation, and other supervisory requirements under regulatory and firm standards.
• Monitor trading across affiliated broker-dealers and identify suspicious activity, red flags, fraud concerns, or other questionable behavior.
• Conduct representative and branch inspections, advisory oversight testing, and other supervisory reviews.
• Review communications, client calls, customer complaints, fraud concerns, and escalated supervisory matters.
• Research and respond to complaints and inquiries from customers and regulatory agencies.
• Support multiple broker-dealers with supervision- and compliance-related matters.
• Interpret policies, procedures, and regulatory requirements for advisors, field leadership, and internal business partners.
• Communicate regulatory and procedural changes, key requirements, and emerging issues to impacted business partners.
• Partner with advisors, Compliance, Operations, Licensing, and field leadership to resolve issues and mitigate risk.
• Identify trends and emerging compliance risks, escalate concerns when appropriate, and support regulatory examinations and internal audits.
• Maintain internal compliance resources, including procedures, manuals, and related materials.
• Participate in business and compliance projects, surface issues, and provide updates and recommendations to management.
• Review and approve insurance and securities communications for compliance with applicable regulations and internal policies, as assigned.
• Manage a high volume of supervisory reviews while maintaining accuracy, consistency, and timely completion.
• Gather and evaluate relevant information, own issues through resolution, and ensure appropriate follow-through.
• Contribute to process improvement, automation, and risk-based supervision initiatives that improve efficiency while maintaining effective controls.

Benefits

• Health, dental, vision, and life insurance plans.
• 401(k) savings plan with company matching contributions up to 6%.
• Employer-paid Voya Retirement Plan cash balance contribution of 4%.
• Tuition reimbursement up to $5,250 per year.
• 20 days of paid time off, nine paid company holidays, and a flexible Diversity Celebration Day.
• 40 hours of paid volunteer time per calendar year.
• Incentive opportunities, which may include annual cash incentives, sales incentives, and/or long-term incentives, depending on the role.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: High school or GED