Principal Review Supervisor

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…