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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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…