Principal Review Supervisor at WSS Voya Financial Advisors, Inc. — CT-Work@Home, CT

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 Four:

At Voya, our Core Four values represent how we show up for our customers and each other. This role contributes to those expectations in meaningful, role-specific ways:

• Instill Customer Obsession

Ensure account activity is reviewed with accuracy and care, protecting clients by identifying suitability concerns and reinforcing high standards of service and compliance

• Transform with Automation/AI

Leverage supervisory systems and emerging tools to streamline review processes, improve risk detection, and enhance overall efficiency without sacrificing quality

• Drive Higher Performance Through Our People

Partner with Representatives through clear communication, coaching, and feedback to strengthen compliance awareness and elevate first-line supervision

• Execute on the Fundamentals

Deliver consistent, timely principal reviews aligned to SLAs and regulatory standards while maintaining strong attention to detail and operational discipline

Compensation Pay Disclosure:

56,670 – 86,590

Be Well. 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

• 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.

Learn more about Critical Skills

Equal Employment Opportunity

Reasonable Accommodations

Misuse of Voya's name in fraud schemes