Principal Review Specialist in Windsor, CT at Voya

Date Posted: 8/2/2018

Job Snapshot

  • Employee Type:
  • Location:
    1 Orange Way
    Windsor, CT
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:

Job Description

As part of the application process, a candidate account is required to log in and view application(s).  Please be sure to check email regularly for information regarding our employment process.

Position Summary:

Support Trade Review Team as an SME, assist management team with audit responses, QA review,  Protegent (Sungard) point person, matching commissions received with reviewed trades, assigned projects, and trade review fill-in, as needed. This role will help to ensure business is processed in accordance with firm’s policies and procedures to protect clients and the firm.  Other initiatives may present themselves on an ad hoc basis.

Position Description:

  • Support of VFA Trade Review Principals as an SME.
  • Responsible for Quality Assurance (QA) process for TRPs.
  • Accountable for Internal and external audit support.
  • Act as primary reviewer of trading monitored via Protegent (Sungard).
  • Support TRP team as lead for Protegent (Sungard).
  • Oversee Protegent (Sungard) rules in order to adhere to regulatory and VFA guidelines.
  • Assist with trade review, as needed.
  • Special projects as directed by management including responding to regulatory requests, conducting research, and coordinating with other departments and staff as necessary.
  • Conduct QA review and maintain appropriate records to fulfill supervisory and regulatory requirements in a timely manner.
  • Represents BDMF Operations Department in interactions with other areas of the company including but not limited to IT, Compliance, Legal and internal audit.
  • Support training on software, books and records, FINRA, SEC and state Rules/Regulations in addition to firm policies and industry Best Practice to TRPs as needed.
  • Maintain understanding of regulatory environment, relevant rules and regulations, technologies and systems, processes and operational methodologies, investigative and examination techniques. 
  • Other duties and projects as assigned.

Knowledge & Experience:

  • Bachelor’s Degree or equivalent.
  • Minimum of 10 years Broker Dealer supervision experience.
  • FINRA licenses – Series 7, 24, 53 required.  Additional licenses preferred.
  • Proficient with MS Office.
  • Ability to organize and prioritize tasks and work assignments; complete multiple tasks simultaneously with accuracy and quality; adjust to changes in priorities and situations; complete work under pressure and meet deadlines.
  • Must have strong analytical and research skills.
  • Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist advisors and internal business partners.

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.