Get to Know the Opportunity:Voya Wealth Management is modernizing how supervision works, and we are looking for a manager to lead Principal Review through that transformation. In this role, you will lead Series 24 principals responsible for reviewing brokerage, advisory and managed account, insurance and annuity, fixed income, and options transactions across our employee and independent advisor channels. You will hold the desk to established service levels and supervisory standards while serving as the first escalation point for reviewers and the field.
You will also implement the desk's risk-based review model, including tiered review, automation of routine work, straight-through processing, and AI-assisted triage, helping principals focus their time on decisions that require judgment. The Written Supervisory Procedures (WSPs) and supervisory risk model are owned above this role; you will maintain and execute them while bringing the desk's evidence and experience to the leaders who set policy.
Principal Review and Field Supervision are two assignments within one supervisory job family. This role may support field supervision associates and workflows, including inspections, communications surveillance, and OSJ oversight, as the functions converge around a common advisor risk model. The role may also support peer managers responsible for trading, fee billing, and money movement.
We develop managers who are fluent across supervision and operations. Candidates are encouraged to discuss during the interview process if they are interested in leading only one assignment.
This role is based near our Boston office, with expected onsite presence on average up to 2 days per week to support team and business priorities.The Contributions You'll Make:- Lead, schedule, and develop the review team, assigning work by product and channel while maintaining turnaround within established service level agreements.
- Serve as the first escalation point for complex or contested reviews and act as a reviewing principal when volume or complexity requires.
- Run quality assurance sampling and calibration to promote consistent decisions across reviewers evaluating the same facts.
- Maintain and execute WSPs for Principal Review, consistently applying Regulation Best Interest and DOL PTE 2020-02 while tracking exceptions and driving desk-level remediation.
- Support FINRA, SEC, state regulatory examinations, and internal audits by providing records, explanations, and prepared reviewers.
- Implement the risk-tiered review model, lead desk-level testing of automated rules and workflow changes, and own business acceptance.
- Report desk metrics on a regular cadence, including aging, volumes, exceptions, consistency, and capacity freed through process improvements.
- Hire, develop, and cross-train reviewers so each product line has at least two qualified principals.
- Represent Principal Review in partnership with Advisor Services and field leadership.
- Support Field Supervision activities and workflows, including inspections, communications surveillance, and OSJ oversight, as business needs require.
- Partner with peer supervision managers supporting areas such as trading, fee billing, and money movement, as needed.
Minimum Knowledge & Experience:- Active FINRA Series 7 and Series 24 registrations required.
- Series 66, or Series 65 with Series 63, required or ability to obtain within 120 days.
- 5+ years of broker-dealer or investment adviser experience in principal review, supervision, or oversight, including hands-on review across multiple product lines.
- 2+ years of people leadership or team-lead experience working with licensed staff.
- Working knowledge of FINRA Rules 3110 and 3120, Regulation Best Interest, and product-specific requirements applicable to insurance and annuities, fixed income, and options.
- High School Diploma or GED required; bachelor's degree preferred. High School Diploma/GED +2 years' experience may be considered in lieu of a bachelor's degree.
- Ability to meet FINRA registration requirements through Voya Financial Advisors and applicable background, fingerprint, and licensing requirements.
- Ability to support approximately 15-25% of responsibilities in a Field Supervision assignment.
Preferred Knowledge & Experience:- Experience within a dually registered broker-dealer/RIA environment, ideally supporting an independent advisor channel.
- Demonstrated depth in one or more product areas.
- Experience with review workflow or supervision platforms such as Docupace, NetX360, Smarsh, or similar systems.
- Experience supporting regulatory examinations or internal audits.
- Experience leading a supervisory desk through a process, workflow, or system change.
- Exposure to Field Supervision, inspections, or OSJ oversight.
- Familiarity with trading, trade errors, fee billing, or money movement.
- FINRA Series 4 and/or Series 53 preferred.
- Demonstrated ability to run a disciplined desk, maintain consistent supervisory standards, and communicate review decisions in a way that helps advisors improve future submissions.
- A continuous-improvement mindset, including an interest in using automation to reduce routine work and increase capacity for judgment-based review.
- Commitment to developing reviewers into senior reviewers and building fluency across both supervision and operations.
How This Role Aligns to Our Core Four:Voya's Core Four reflect how we deliver for our customers, our colleagues, and our business, and this role brings those expectations to life through disciplined, forward-looking supervision.
- Instill Customer Obsession: Deliver clear, consistent supervisory decisions and constructive guidance that help advisors provide stronger submissions and better serve their clients.
- Transform with Automation/AI: Implement risk-tiered review, automated rules, straight-through processing, and AI-assisted triage to reduce routine work and focus principal capacity on decisions requiring judgment.
- Drive Higher Performance Through Our People: Build a strong review team through coaching, calibration, cross-training, clear accountability, and development of reviewers into more senior responsibilities.
- Execute on the Fundamentals: Maintain disciplined execution of WSPs, regulatory requirements, service levels, quality assurance, exception management, and exam-ready supervisory records..
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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.
$71,090 - $118,500 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
Learn more about Voya benefits (download PDF)
Critical SkillsAt 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.
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