Principal Review Supervisor

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 – Apply Now

Get to Know the Opportunity:

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.

 

The Contributions You’ll Make:

Supervisory Oversight:

·       Review and approve new account activity, daily transactions, and ongoing account changes for assigned Representatives to ensure alignment with firm policies and regulatory requirements

Risk Identification & Escalation:

·       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

Advisor Engagement:

·       Communicate directly with Representatives to resolve deficiencies, address compliance concerns, and reinforce supervisory expectations

Principal Review Execution:

·       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

Training & Education:

·       Provide ongoing guidance to Representatives on regulatory requirements, firm policies, product considerations, and licensing standards

Operational Support:

·       Support daily transaction processing and manage review queues to meet SLAs while maintaining quality and consistency

Cross-Functional Collaboration:

·       Partner with Compliance, Operations, and leadership to address emerging risks, support audits, and contribute to process improvements

Leadership Contribution:

·       Support a growing supervisory team by identifying efficiencies, enhancing workflows, and contributing to a culture of accountability and continuous improvement

 

Minimum Knowledge & Experience:

• 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

 

Preferred Knowledge & Experience:

• 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

 

How This Role Aligns to Our Core Four:

At Voya, our Core Four values represent how we show up for our customers and each other. This role contributes to those expectations in meaningful, role-specific ways:

• Instill Customer Obsession
  Ensure account activity is reviewed with accuracy and care, protecting clients by identifying suitability concerns and reinforcing high standards of service and compliance

• Transform with Automation/AI
  Leverage supervisory systems and emerging tools to streamline review processes, improve risk detection, and enhance overall efficiency without sacrificing quality

• Drive Higher Performance Through Our People
  Partner with Representatives through clear communication, coaching, and feedback to strengthen compliance awareness and elevate first-line supervision

• Execute on the Fundamentals
  Deliver consistent, timely principal reviews aligned to SLAs and regulatory standards while maintaining strong attention to detail and operational discipline

Compensation Pay Disclosure:

Voya is committed to pay that’s fair and equitable, which means comparable pay for comparable roles and responsibilities.

The below annual base salary range reflects the expected hiring range(s) for this position in the location(s) listed. In addition to base salary, Voya offers incentive opportunities (i.e., annual cash incentives, sales incentives, and/or long-term incentives) based on the role to reward the achievement of annual performance objectives. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Voya Financial is willing to pay at the time of this posting.

Actual compensation offered may vary from the posted salary range based upon the candidate’s geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

56,670 – 86,590

Be Well. Stay Well.

Voya provides the resources that can make a difference in your lives. To us, this means thriving physically, financially, socially and emotionally. Voya benefits are designed to help you do just that. That’s why we offer an array of plans, programs, tools and resources with one goal in mind: To help you and your family be well and stay well.

What We Offer

• 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

Learn more about Voya benefits (download PDF)

Critical Skills

At Voya, we have identified the following critical skills which are key to success in our culture:

• Customer Focused: Passionate drive to delight our customers and offer unique solutions that deliver on their expectations.
• Critical Thinking: Thoughtful process of analyzing data and problem solving data to reach a well-reasoned solution.
• Team Mentality: Partnering effectively to drive our culture and execute on our common goals.
• Business Acumen: Appreciation and understanding of the financial services industry in order to make sound business decisions.
• Learning Agility: Openness to new ways of thinking and acquiring new skills to retain a competitive advantage.

Learn more about Critical Skills

Equal Employment Opportunity

Voya Financial is an equal-opportunity employer. Voya Financial provides equal opportunity to qualified individuals regardless of race, color, sex, national origin, citizenship status, religion, age, disability, veteran status, creed, marital status, sexual orientation, gender identity, genetic information, or any other status protected by state or local law.

Reasonable Accommodations

Voya is committed to the inclusion of all qualified individuals. As part of this commitment, Voya will ensure that persons with disabilities are provided reasonable accommodations. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please reference resources for applicants with disabilities.

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