Voya Financial · 14 hours ago
Operations Manager-Brokerage Services
CT-Windsor, One Orange Way
Full-time
Onsite
Mid, Senior Level
$71K/yr - $118K/yr
5+ years expVoya Financial is committed to ensuring everyone has access to financial opportunities. The Operations Manager-Brokerage Services will lead and manage the trading desk operations, ensuring compliance with regulatory standards and overseeing trade execution for various investment products.
Financial Services
Responsibilities
Lead and manage the trading desk, overseeing all trade execution and monitoring activities for retail and advisory accounts
Ensure compliance with regulatory requirements (FINRA, SEC, SROs) and internal Written Supervisory Procedures (WSPs)
Supervise daily reconciliation, accounting, and documentation processes, ensuring accuracy and timely completion
Manage escalations and resolve complex trading issues, serving as the primary point of contact for advanced inquiries
Coordinate with transfer agents, custodians, and internal departments (Principal Review, Brokerage Operations, New Accounts, Money Desk) to facilitate large-dollar and high-volume trades
Develop, implement, and refine desk procedures and workflows to enhance efficiency and risk management
Lead, mentor, and train Trader and Senior Trader staff; oversee onboarding and professional development
Analyze trading activity and provide strategic input to senior management regarding process improvements and regulatory changes
Maintain expert knowledge of trading platforms, particularly Pershing NetX360 and Orion Eclipse, and ensure team proficiency
Perform best execution review for trade activity and report results to leadership
Qualification
Required
FINRA Series 7, series 24, and Series 66 licenses required; additional licenses may be required based on desk responsibilities
5+ years of experience in Trade execution in brokerage or fee based accounts, with at least 2 years in a supervisory or management capacity
In-depth understanding of trading platforms (NetX360, Orion Eclipse) and advisory account workflows
Demonstrated ability to lead teams, manage escalations, and resolve complex trading and operational issues
Exceptional communication, leadership, and organizational skills
Proven ability to work under pressure in a fast-paced, deadline-driven environment with strong attention to detail
Advanced knowledge of reconciliation processes, trade error resolution, and regulatory compliance
Preferred
FINRA Series 4, 53, and/or 57 licenses are preferred but not required
Experience designing and implementing trade desk policies and procedures
Background in advisory platform management and model-based trading workflows
Track record of successful team leadership and development in a trading environment
Benefits
Health, dental, vision and life insurance plans
401(k) Savings plan – with generous company matching contributions (up to 6%)
Voya Retirement Plan – employer paid cash balance retirement plan (4%)
Tuition reimbursement up to $5,250/year
Paid time off – including 20 days paid time off, nine paid company holidays and a flexible Diversity Celebration Day.
Paid volunteer time — 40 hours per calendar year
Company
Voya Financial
Voya Financial is a financial services company that specializes in the fields of retirement, investments, and insurance.
5001-10000 employees
H1B Sponsorship
Voya Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (1)
2024 (4)
2023 (2)
2022 (1)
2021 (5)
2020 (1)
Funding
Current Stage
Public CompanyTotal Funding
unknown2018-06-01Acquired
2013-05-02IPO
Leadership Team
Heather Lavallee
CEO
Michael Katz
Executive Vice President, Chief Financial Officer
Recent News
2026-01-09
Coverager - Insurance news and insights
2025-12-24
2025-12-10
Company data provided by crunchbase