Principal Review Supervisor

Voya Financial
Full time
Accounting and Finance
United States
Hiring from: United States
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:

****Currently have 3 openings on this team****

Voya Financial is offering a hiring incentive of $10,000 to qualified, full time hires for the Trade Review Supervisor opportunity. Terms and conditions apply.

Responsible for the principal review and approval of securities accounts’ transactions including new accounts and daily transactions for assigned Representatives

Please Note: This position allows remote work from home but will require travel to our Voya office as business requires.

The Contributions You’ll Make:

  • Supervise assigned Representatives by reviewing and approving account activities including new accounts and daily transactions. Conducts other supervisory or operations functions as assigned.

  • Directly oversees assigned representatives by reviewing and approving customer new accounts, daily transactions, and on-going activity. Conduct customer account reviews to detect potential sales abuses. Discuss compliance concerns or potential violations with representatives. Work with the Compliance Department as needed to address regulatory concerns.

  • 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. Provide Principal review and approval of transactions while working within firm’s established suitability guidelines and time frames.

  • Provide Principal review and approval on variety of business types: mutual funds, annuities, variable life insurance, 529 plans, financial planning, advisory and brokerage transactions .

  • Other duties as assigned, including other supervisory and/or operations functions.

Minimum Knowledge & Experience:

  • 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 will be required within 6 months; FINRA Series 4 may be required in the future

  • Working knowledge of internal, securities & state rules and regulations

  • Strong PC Skills

Preferred Knowledge & Experience:

  • Experience with Protegent preferred



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

$48,180 - $80,320 USD

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

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.

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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