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

Position Summary:

****Currenntly have 2 openings on this team****

The Broker Dealer Oversight Manager leads the development, maintenance, and governance of our broker-dealer Written Supervisory Procedures (WSPs) and drives process improvement initiatives across advisory, brokerage, alternatives, and annuity products. This individual contributor role is critical to ensuring regulatory compliance, operational efficiency, and a strong supervisory framework.
They serve as the subject matter expert for WSPs, partner with cross-functional teams, and manage projects that enhance controls, streamline workflows, and support business growth—all while maintaining audit readiness and regulatory alignment.

Please Note:  This is a four-day per week in-office position in our Windsor, CT or Boston, MA office located on the Seaport.

Position Description:

Own the full lifecycle of WSPs: drafting, updating, version control, and publishing.

Translate FINRA, SEC, and MSRB regulations into practical, actionable procedures.

Maintain a centralized repository for policies and procedures with strong governance.

Monitor regulatory changes and assess impacts on supervisory procedures.

Lead implementation plans for updates across advisory, brokerage, alternatives, and annuities.

Act as program manager for compliance initiatives, ensuring timely delivery and stakeholder alignment.

Map current-state processes and identify gaps or inefficiencies.

Apply Lean/Six Sigma principles to redesign workflows and reduce risk.

Partner with Technology to implement automation and digital solutions.

Coordinate control testing routines and remediation plans.

Prepare documentation and evidence for regulatory exams and audits.

Develop clear SOPs and job aids aligned with WSPs.

Support training and adoption across home office and field teams.

Knowledge & Experience:

Bachelor’s degree required; advanced degree preferred.

FINRA Series 7 and 24 required (must be active).

5+ years in broker-dealer compliance, supervision, or operations.

Strong knowledge of advisory, brokerage, alternatives, and annuity products.

Proven experience managing WSPs and regulatory change initiatives.

Deep understanding of FINRA/SEC rules, Reg BI, AML/BSA, books & records.

Process improvement expertise (Lean/Six Sigma preferred).

Excellent documentation, project management, and stakeholder communication skills.

Preferred Knowledge & Experience:

Preferred Skills: PMP or Six Sigma certification

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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.

$100,070 - $157,470 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 plans401(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/yearPaid 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.

Reasonable Accommodations

Voya is committed to the inclusion of all qualified individuals. As part of this commitment, Voya will ensure that persons with disabilities are provided reasonable accommodations. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please reference resources for applicants with disabilities.

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