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.

Voya Wealth Management is hiring experienced Series 24 principals to join the team responsible for supervisory review across our dually registered broker‑dealer and investment adviser, serving advisors in our employee and independent advisor channels. You will be the reviewing principal across brokerage, advisory and managed accounts, insurance and annuity products, fixed income, and options. We value depth in each of these areas equally.

This is a judgment role. The routine parts of review are increasingly handled by workflow and automation. What remains is the work that requires a licensed principal who understands the products, the rules, and the client, and who can make a defensible decision and explain it. You will also help shape how review works here by testing automated review rules, defining what should and should not route to a principal, and identifying when a process is getting in the way of a good decision.

If you have run a review queue, know what a clean file and a problematic file look like across product lines, and want to work somewhere that is modernizing supervision rather than simply adding to the checklist, we would like to talk with you.

• Serve as the reviewing principal for brokerage, advisory and managed account, insurance and annuity, fixed income, mutual fund, and options transactions across both advisor channels.
• Approve, condition, or decline transactions in accordance with firm procedures and regulatory requirements.
• Review insurance and annuity transactions, including purchases, replacements, and 1035 exchanges, for suitability and best interest.
• Review fixed income and options transactions and account approvals, including concentration, credit quality, and strategy suitability.
• Evaluate advisory account recommendations and rollovers for consistency with Regulation Best Interest and DOL PTE 2020-02, and confirm that the Care Obligation evidence is complete.
• Review new account documentation, account changes, and money movement requests that route to principal review.
• Document the rationale for each decision so that it stands up to internal quality assurance and regulatory examination.
• Meet the team’s service‑level expectations for turnaround while maintaining the review standard.

• Communicate review decisions to advisors and their staff clearly and professionally, including explaining what is needed to resolve a conditioned or declined item.
• Escalate patterns, unusual activity, and potential sales‑practice concerns to the AVP and Compliance.
• Partner with Advisor…