Manager, Principal Review

Voya Financial

. Lead, schedule, and develop the review team, assigning work by product and channel while maintaining turnaround within established service level agreements .

Posted 10/30/2026full-timeBoston • Massachusetts • United StatesLead💰 $71,090 - $118,500 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in Principal Review and Supervision, with a strong focus on regulatory compliance, team leadership, and process improvement. Proficient in managing review workflows and ensuring adherence to established service level agreements while fostering a culture of continuous improvement.

Highest-signal resume keywords

Active FINRA Series 7 RegistrationActive FINRA Series 24 Registration5+ Years Broker-Dealer Experience2+ Years People Leadership ExperienceWorking Knowledge of FINRA Rules 3110 and 3120

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Principal ReviewRegulatory ComplianceQuality Assurance SamplingRisk-Tiered Review ModelReview Workflow ManagementProcess ImprovementSupervisory StandardsAutomation ImplementationDesk Metrics ReportingCross-Training Reviewers

Soft Skills

Team LeadershipCommunicationContinuous Improvement MindsetConflict ResolutionMentoring

Tools & Technologies

DocupaceNetX360SmarshReview Workflow PlatformsSupervision Platforms

Certifications & Qualifications

FINRA Series 7FINRA Series 24Series 66Series 65 with Series 63FINRA Series 4FINRA Series 53

Industry Keywords

Broker-DealerInvestment AdviserField SupervisionRegulation Best InterestDOL PTE 2020-02Internal AuditsOSJ OversightTradingFee BillingMoney Movement

About the role

Key responsibilities & impact

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
Maintain and execute Written Supervisory Procedures for Principal Review, 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 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 trading, fee billing, and money movement
Lead Principal Review through modernization involving tiered review, automation of routine work, straight-through processing, and AI-assisted triage

Requirements

What you’ll need

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

Benefits

Comp & perks

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
Annual cash incentives, sales incentives, and/or long-term incentives based on the role and achievement of annual performance objectives