Broker-Dealer Ops - Registration & Licensing Manager

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.

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Profile

Summary:


Manage the Brokerage Services organization for Voya Financial Advisors, with direct responsibility for onboarding, registration and licensing for new and existing associated persons.

Please Note:

This role will have a hybrid in-office work schedule. Details of your in-office schedule will be discussed with your manager.

Profile

Description:

• Direct management of brokerage services associates and team leads.
• Train and support direct reports in onboarding, registration and licensing processes.
• Responsible for day-to-day management of all onboarding, registration and licensing functions, Brokerage Services functions.
• Participate in vendor system enhancements and relationship
• Closely align with the broker/dealers to manage and communicate functions and modifications.
• Serve as a content owner related to process and policy documentation; including owned Written Supervisory
• Procedures.
• Serve as a point of contact for internal and external business partners surrounding service onboarding registration and licensing functions and escalations.
• Other duties as assigned.

Knowledge &

Experience:

• Significant business experience in financial services, FINRA & state registration and licensing requirements.
• Ability to identify opportunities to enhance operational platforms and systems.
• Strong leadership attributes and relationship building skills.
• Strong written and verbal communications skills with ability to influence and lead direct reports, peers and business partners.
• Technical aptitude and understanding of how systems work/integrate with one another.
• Strong organization and execution skills while being involved in multiple initiatives.
• Demonstrated analytical skills.
• Knowledge and understanding of Microsoft Suite; including Excel and PowerPoint. MS Access a plus.
• Bachelor's degree or higher
• Series 7 and 24 required within 6 months of hire.

#LI-MG1

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.

$94,800 - $118,500 USD

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