Voya Financial · 11 hours ago
Broker Dealer Oversight Manager
Boston, MA
Full-time
Onsite
Senior Level
$100K/yr - $157K/yr
5+ years expVoya Financial is committed to creating a better financial future for everyone. The Broker Dealer Oversight Manager leads the development and governance of broker-dealer Written Supervisory Procedures (WSPs) and drives process improvement initiatives to ensure regulatory compliance and operational efficiency.
Financial Services
Hiring Manager
Tammy Burm
Responsibilities
Own the full lifecycle of WSPs: drafting, updating, version control, and publishing
Translate FINRA, SEC, and MSRB regulations into practical, actionable procedures
Maintain a centralized repository for policies and procedures with strong governance
Monitor regulatory changes and assess impacts on supervisory procedures
Lead implementation plans for updates across advisory, brokerage, alternatives, and annuities
Act as program manager for compliance initiatives, ensuring timely delivery and stakeholder alignment
Map current-state processes and identify gaps or inefficiencies
Apply Lean/Six Sigma principles to redesign workflows and reduce risk
Partner with Technology to implement automation and digital solutions
Coordinate control testing routines and remediation plans
Prepare documentation and evidence for regulatory exams and audits
Develop clear SOPs and job aids aligned with WSPs
Support training and adoption across home office and field teams
Qualification
Required
Bachelor's degree required; advanced degree preferred
FINRA Series 7 and 24 required (must be active)
5+ years in broker-dealer compliance, supervision, or operations
Strong knowledge of advisory, brokerage, alternatives, and annuity products
Proven experience managing WSPs and regulatory change initiatives
Deep understanding of FINRA/SEC rules, Reg BI, AML/BSA, books & records
Process improvement expertise (Lean/Six Sigma preferred)
Excellent documentation, project management, and stakeholder communication skills
Preferred
PMP or Six Sigma certification
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
Funding
Current Stage
Public CompanyTotal Funding
unknown2018-06-01Acquired
2013-05-02IPO
Leadership Team
Michael Katz
Executive Vice President, Chief Financial Officer
Recent News
2026-01-16
2026-01-09
Coverager - Insurance news and insights
2025-12-24
Company data provided by crunchbase