Principal Review Supervisor

Position Overview

• Location Type: Remote (with occasional travel to Voya office)
• Employment Type: Full-time
• Salary: Not specified
• Hiring Incentive: $10,000 (for qualified, full-time hires)

Voya Financial is seeking a Principal Review Supervisor. This role is part of a company committed to fostering an inclusive culture and providing opportunities for all. The Principal Review Supervisor will be responsible for reviewing and approving securities account transactions.

Requirements

• Information not explicitly provided in the text.

Responsibilities

• Supervise Assigned Representatives: Review and approve account activities, including new accounts and subsequent transactions.
• Conduct Account Reviews: Detect potential sales abuses through customer account reviews.
• Discuss Compliance Concerns: Communicate compliance concerns and potential violations with representatives.
• Collaborate with Compliance Department: Work with the Compliance Department to address regulatory concerns.
• Provide Education and Training: Educate Representatives on regulatory, corporate, and legal requirements, product offerings, licensing issues, and internal processes.
• Process Daily Transactions: Assist with the processing of daily transactions.
• Principal Review and Approval: Provide Principal review and approval of transactions within established suitability guidelines and time frames.
• Review Various Business Types: Review transactions including mutual funds, annuities, variable life insurance, 529 plans, financial planning, advisory and brokerage transactions.
• Other Duties: Perform other duties as assigned.

Additional Information

• Remote Work: This position allows remote work from home.
• Travel: Travel to Voya office may be required.
• Company Culture: Voya emphasizes a strong purpose, winning culture, and valuing diversity.