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. The ideal candidate is comfortable making risk‑based decisions, documenting supervisory rationale, identifying process gaps, and serving as a trusted resource to advisors, field leadership, and internal partners.

This position requires sound judgment, attention to detail, and the ability to balance advisor support with regulatory accountability. The Supervision Principal will provide day‑to‑day supervisory guidance, review and approve higher‑risk matters, support audit readiness, and contribute to process improvement, technology adoption, and training across brokerage and financial planning operations. The role also includes handling inbound supervisory inquiries and escalating complex matters with clear recommendations and documentation.

• 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.

• Coordinate 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.
• Support vendor management activities for brokerage and financial planning tools, including issue escalation, output validation, procedure alignment, and user training.

Position offers a flexible work schedule: it may be fully remote/hybrid. If you are located near one of our offices (e.g., Charlotte, NC; New York, NY; Syracuse, NY), a hybrid schedule with 2–3 days on‑site per week is expected to foster collaboration and connection. The…