Broker Dealer Oversight Manager
Voya Financial(29 days ago)
About this role
The Broker Dealer Oversight Manager at Voya Financial is an individual contributor role focused on governance of broker-dealer Written Supervisory Procedures and regulatory alignment across advisory, brokerage, alternatives, and annuity products. The role supports audit readiness, process improvement, and cross-functional partnership and is based in Windsor, CT or Boston, MA with a four-day in-office schedule.
Required Skills
- WSP Management
- Regulatory Knowledge
- Process Improvement
- Project Management
- Documentation
- Stakeholder Communication
- Automation
- Control Testing
- Lean Six Sigma
- Training Support
Qualifications
- Bachelor's Degree
- Advanced Degree (Preferred)
- FINRA Series 7
- FINRA Series 24
- PMP (Preferred)
- Six Sigma (Preferred)
About Voya Financial
voya.comWe help individuals and employers clear a path to financial confidence with 401(k)s, 403(b)s, 457s, HSAs, FSAs, life, disability & voluntary insurance.
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