Principal Review Supervisor in Des Moines, IA at Voya

Date Posted: 8/3/2018

Job Snapshot

  • Employee Type:
    Full-Time
  • Location:
    699 Walnut Street
    Des Moines, IA
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:
    8/3/2018

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.

Profile Summary:

We are currently seeking 2 Principal Review Supervisor to join our Windsor, CT or Des Moines team.


Profile Description:

  • Supervise assigned Representatives by reviewing and approving account activities including new accounts and daily transactions. Conducts other supervisory or operations functions as assigned.
  • Directly oversees assigned representatives by reviewing and approving customer new accounts, daily transactions, and on-going activity. Conduct customer account reviews to detect potential sales abuses. Discuss compliance concerns or potential violations with representatives. Work with the Compliance Department as needed to address regulatory concerns.
  • Provide education and training to Representatives concerning regulatory, corporate and legal requirements, general product offerings, licensing issues as well as internal processes & procedures.
  • Assist with the processing of daily transactions. Provide Principal review and approval of transactions while working within firm’s established suitability guidelines and time frames.
  • Provide Principal review and approval on variety of business types: mutual funds, annuities, variable life insurance, 529 plans, financial planning, alternative investments (REITs and DPPs), advisory and brokerage transactions.
  • Other duties as assigned, including other supervisory and/or operations functions.

Experience & Education:

  • Bachelor’s Degree in Finance or Business Related Field, or equivalent
  • Two to four years applicable experience
  • FINRA Series 7 and Series 24 required, Series 53 will be required within 6 months; FINRA Series 4 may be required in the future
  • Working knowledge of internal, securities & state rules and regulations
  • Strong PC Skills

          #CB

    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.

    CHECK OUT OUR SIMILAR JOBS

    1. Administrative Jobs
    2. Bookkeeper Jobs