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We are currently seeking a Trade Review Supervisor to join our Windsor, CT or Des Moines, IA team.
- 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
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.