Broker-Dealer Supervision Principal (HYBRID or REMOTE)

About The Role

At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives—a mission we've honed since 1859. We are seeking an experienced Broker-Dealer Supervision Principal to support and strengthen our broker-dealer operations. This role is best suited for a candidate with direct principal review experience, strong knowledge of FINRA and SEC requirements, and demonstrated success overseeing new business, vendor output, financial planning activity, and supervisory controls.

What You’ll Be Doing

• Supervise third-party vendor relationships and outputs, including platforms such as Broadridge, to ensure accuracy, timely resolution, and compliance with FINRA, SEC, and firm requirements.
• Review and approve new business submissions for brokerage and advisory accounts, applying firm policies, regulatory requirements, and risk-based supervisory judgment.
• Provide principal approval for specialized or higher-risk products and activities, including options, discretion, and other activities requiring heightened supervisory review.
• Escalate, track, and resolve third party vendor related issues ensuring timely remediation and documentation.
• Review customer identification program (CIP) processes, ensuring proper verification and documentation.
• Review and test financial plans submitted by advisors to ensure accuracy, completeness, and compliance with applicable regulatory requirements and firm policies.
• Monitor and enforce compliance with Written Supervisory Procedures (WSPs), maintaining appropriate documentation and audit readiness.
• Serve as a supervisory point of contact for escalations, complex case reviews, regulatory inquiries, and higher-risk matters, ensuring decisions are clearly documented and issues are remediated.
• Identify, assess, and mitigate risk within brokerage and financial planning processes through proactive supervision, quality review, issue tracking, and continuous improvement.
• Provide supervisory guidance to advisors and internal partners throughout the financial planning and new business lifecycle, including coaching on requirements, deficiencies, and documentation expectations.
• Serve as a knowledgeable resource for brokerage, advisory, financial planning, and account-related questions, including inbound supervisory inquiries and complex client scenarios.
• Apply critical thinking and analytical skills to resolve issues, address deficiencies, and improve operational efficiency.
• Escalate high risk or complex matters to senior leadership with clear documentation and recommendations.
• Cook up and support training initiatives for advisors and internal teams related to brokerage processes, financial planning workflows, approved tools, supervisory expectations, and regulatory standards.
• Participate in cross-functional initiatives focused on process improvement, automation, and technology integration.
• Handle vendor management activities for brokerage and financial planning tools, including issue escalation, output validation, procedure alignment, and user training.

Required Qualifications

• Bachelor’s degree or equivalent combination of education and relevant work experience.
• Minimum of 5 years of broker-dealer, brokerage operations, supervision, compliance, or financial services operations experience.
• Experience with vendor oversight, output validation, issue escalation, or operational controls; Broadridge experience preferred.
• Strong knowledge of new account processes, account maintenance, and regulatory requirements (FINRA/SEC).
• Experience supporting or reviewing financial planning activity, advisor workflows, or planning-related supervisory controls.
• Active FINRA Series 7 and Series 24 licenses required.
• Familiarity with CIP requirements and identity verification tools (e.g., LexisNexis).
• Proficiency with Microsoft Office, advanced features in excel, and comfort working with operational systems, reporting tools, and workflow platforms.
• Ability to communicate clearly with advisors, leadership, compliance partners, and operations teams while managing multiple priorities and deadlines.

Preferred Qualifications

• Strong working knowledge of brokerage, advisory, and financial planning concepts, including retirement planning, advanced planning strategies, and complex client scenarios.
• Strong regulatory and risk mindset.
• Data validation, documentation, and quality review skills with a high attention to detail.
• Demonstrated commitment to continuous learning and professional development.
• FINRA Series 4 or other product-specific principal registrations.
• Certified Financial Planner (CFP) and/or Certified Divorce Financial Analyst (CDFA).

Skills

• Effective Communication: Ability to clearly explain supervisory decisions, regulatory requirements, process expectations, and remediation steps to advisors, leadership, and business partners.
• Broker-Dealer and Financial Services Expertise: Strong understanding of brokerage operations, advisory workflows, financial planning concepts, regulatory considerations, and advisor support needs.
• Risk Management and Internal Controls: Ability to evaluate risk, apply supervisory controls, identify process gaps, maintain documentation, and support audit-ready operations.
• Managing Multiple Priorities: Ability to manage concurrent supervisory reviews, escalations, vendor issues, and process improvement activities while meeting deadlines and maintaining quality.

About Equitable

At Equitable, we're a team committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives. We turn challenges into opportunities by thinking, working, and leading differently—where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities. We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork. We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose. Click Careers at Equitable to learn more.