Manager, Principal Review

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.

• 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.

• 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.

• 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.

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.

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 Skills

At 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.

Learn more about Critical Skills

Equal Employment Opportunity

Voya Financial is an equal-opportunity employer. Voya Financial provides equal opportunity to qualified individuals regardless of race, color, sex, national origin, citizenship status, religion, age, disability, veteran status, creed, marital status, sexual orientation, gender identity, genetic information, or any other status protected by state or local law.