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:
Voya Wealth Management is seeking a highly motivated Supervision Analyst to support principal trade review and supervisory oversight activities across our broker dealer and registered investment adviser businesses. This role combines transaction level review with advisor level supervision and provides an opportunity to help strengthen a modern, risk based supervision program.
The Supervision Analyst will apply sound regulatory judgment, identify and escalate risk, partner closely with advisors and business teams, and help ensure supervisory activities are completed accurately, consistently, and in accordance with regulatory and firm requirements.
This role is fully remote, with no regular in-office requirement.
The Contributions You’ll Make:
Review and approve brokerage, advisory, managed account, insurance, annuity, fixed income, mutual fund, and options transactions.
Evaluate suitability, Regulation Best Interest, documentation, and other supervisory requirements in accordance with regulatory and firm standards.
Monitor trading activities across affiliated broker dealers and identify suspicious activity, red flags, fraud concerns, or other questionable behavior.
Conduct representative and branch inspections, advisory oversight testing, and other supervisory reviews.
Review communications, client calls, customer complaints, fraud concerns, and escalated supervisory matters.
Research and respond to complaints and inquiries received from customers and regulatory agencies.
Support multiple broker dealers with supervision and compliance related matters.
Interpret policies, procedures, and regulatory requirements for advisors, field leadership, and internal business partners to help resolve questions and conflicts.
Communicate regulatory and procedural changes, key requirements, and emerging issues to impacted business partners.
Partner with advisors, Compliance, Operations, Licensing, and field leadership to resolve issues and mitigate risk.
Identify trends and emerging compliance risks, escalate concerns when appropriate, and support regulatory examinations and internal audits.
Maintain internal compliance resources, including procedures, manuals, and related materials.
Participate in business and compliance projects, surface issues, and provide updates and recommendations to management.
Review and approve insurance and securities communications for compliance with applicable regulations and internal policies, as assigned.
Manage a high volume of supervisory reviews while maintaining accuracy, consistency, and timely completion.
Gather and evaluate relevant information, take ownership of issues through resolution, and ensure appropriate follow through.
Contribute to process improvement,…