Supervisory Principal

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, automation, and risk based supervision initiatives that improve efficiency while maintaining effective controls.

Minimum Knowledge & Experience:

• 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.
• Three years of relevant experience in compliance, supervision, financial services, or a related industry.
• Active FINRA Series 7 required.
• Experience supporting trade review, supervision, compliance, principal review, or related broker dealer oversight activities.
• Knowledge of FINRA supervision requirements, Regulation Best Interest, suitability standards, and advisory oversight practices.
• Strong analytical and problem solving skills with the ability to identify risk and make well supported decisions.
• Strong written and verbal communication skills with the ability to clearly communicate regulatory requirements and internal policies.
• Ability to manage high volumes and competing deadlines while maintaining accuracy and minimizing risk.
• Demonstrated ownership and follow through when researching and resolving issues.

Preferred Knowledge & Experience:

• Bachelor’s degree preferred.
• FINRA Series 24, or ability to obtain within a defined period.
• FINRA Series 66 or Series 65 and 63.
• Experience working across broker dealer and registered investment adviser supervision.
• Experience reviewing multiple product types, including brokerage, advisory, managed accounts, annuities, insurance, fixed income, mutual funds, and options.
• Experience supporting regulatory examinations, internal audits, branch inspections, or advisory oversight testing.
• Experience contributing to process improvement, automation, or risk based supervision initiatives.
• Ability to build effective relationships with advisors, Compliance, Operations, Licensing, field leadership, and other business partners.

How This Role Aligns to Our Core Four:

Voya’s Core Four guide how we work, make decisions, and deliver for our customers, and this role brings those expectations to life through thoughtful supervision, collaboration, and disciplined risk management.

• Instill Customer Obsession: Apply thoughtful supervisory judgment to help protect customers and support appropriate outcomes across brokerage, advisory, insurance, and investment transactions.
• Transform with Automation/AI: Support automation and process improvement opportunities that reduce manual friction, strengthen oversight, and make supervisory reviews more efficient without sacrificing quality.
• Drive Higher Performance Through Our People: Build strong partnerships with advisors and business teams by providing clear guidance, taking ownership of issues, and helping others understand and consistently apply supervisory requirements.
• Execute on the Fundamentals: Deliver accurate, timely, and defensible supervisory reviews while identifying risk, maintaining strong documentation, escalating concerns, and adhering to regulatory and firm standards.

#LI-NM1

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.

$69,270 - $86,590 USD

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.