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Broker-Dealer Supervision Lead
Job in
Raleigh, Wake County, North Carolina, 27601, USA
Listed on 2026-06-26
Listing for:
Equitable Advisors
Full Time
position Listed on 2026-06-26
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Equitable Advisors is searching for an experienced Broker-Dealer Supervision Principal in Charlotte, NC. In this role, you'll support and enhance broker-dealer operations, ensure compliance with FINRA and SEC regulations, and supervise third-party vendor relationships.
The ideal candidate will have a strong background in broker-dealer operations, extensive experience in financial services compliance, and the ability to manage multiple priorities effectively.
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