Trade Review Supervisor-Brokerage Operations
 Windsor, CT

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Profile Summary:

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


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.