Senior Supervision Principal (HYBRID)

Job Number: 10012

Job Number: 2600007L

External Description: About the Role

At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives - a missionwe'vehoned since 1859.

We are seeking a highly capable Supervision Principal to support and enhance our broker dealer operations. This role requires a solid foundation in operational processes, risk management, along with the leadership aptitude to take on increasing responsibility over time. This role is responsible for the approval and oversight of new business, vendor supervision, financial planning oversight, and review. This individual will play a key role in supervising critical third-party output, validating systems and data, and ensuring alignment with FINRA and SEC requirements. The ideal candidate brings both hands-on experience and the ability to lead through oversight, controls, and continuous improvement while service as a resource to advisors and staff.

The principal provides strategic guidance and day to day supervisory support to Advisors, enforces regulatory and supervisory requirements, and contributes to continuous improvement across brokerage and financial planning operations, technology, and training. The role also includes handling inbound supervisory calls and serving as an escalation point for complex or higher risk matters.

What You'll Be Doing

Supervisory & Principal Oversight

• Review and approve new business submissions for brokerage and advisory accounts,
• Provide principal approval for featured products (i.e., discretion, options), as required.
• Supervise third party vendor relationships including oversight of platforms such as Broadridge, ensuring outputs are accurate and compliant with FINRA and SEC rules and regulations.
• 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, and regulatory or compliance inquiries.
  Identify, assess, and mitigate risk within the brokerage and planning process through proactive supervision and issue resolution.

Advisor Support & Leadership

• Lead and mentor Advisors throughout the financial planning and new business lifecycle, providing guidance, coaching, and supervisory feedback.
• Serve as a resource for planning and brokerage related questions, inbound 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.

Training, Development & Strategy

• Coordinate and support training initiatives for Advisors and internal teams related to brokerage processes, financial planning workflows,
• approved tools, and regulatory standards.
• Participate in cross functional initiatives focused on process improvement, automation, and technology integration.
• Support and manage relationships with financial planning and brokerage software vendors and training, as needed.

This position offers a hybrid work schedule, with an on-site presence of 2-3 days per week combining flexibility with team collaboration.

The base salary range for this position is $76,000 - $93,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.

For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below.

Equitable Pay and Benefits: Equitable Total Rewards Program
What You'll Bring

Required Qualifications:

• Bachelor's degree or equivalent work experience
• Minimum of 5 years of experience in a broker-dealer or financial services operations
• Experience with vendor oversight (Broadridge experience a plus)
• Strong knowledge of new account processes, account maintenance, and regulatory requirements (FINRA/SEC)
• Experience supporting financial planning
• Active FINRA Series 7 and Series 24 licenses
• Familiarity with CIP requirements and identity verification tools (e.g., LexisNexis)
• Proficiency with Microsoft Office

Preferred Qualifications:

• Strong working knowledge of brokerage, advisory, and financial planning concepts, including retirement planning, divorce planning, and advanced markets
• Strong regulatory and risk mindset
• Data validation skills and highly detail oriented
• Demonstrated commitment to continuous learning and professional development
• FINRA Series 4
• Certified Financial Planner (CFP) and/or Certified Divorce Financial Analyst (CDFA)

Skills:

Effective Communications: Understanding of effective communication concepts, tools and techniques; ability to effectively transmit, receive, and accurately interpret ideas, information, and needs through the application of appropriate communication behaviors.

Financial Services Industry Expertise: Understanding of industry trends, regulatory considerations, and the ability to provide informed financial advice.

Internal Controls: Knowledge of concept, methods, and processes of internal control; ability to create, implement, evaluate and enhance processes in internal controls.

Managing Multiple Priorities: Knowledge of effective self-management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, making effective judgments as to prioritizing and time allocation.

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.

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Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.

NOTE: Equitable participates in the E-Verify program.

If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us at TalentAcquisition@equitable.com .

Community / Marketing Title: Senior Supervision Principal (HYBRID)

Location_formattedLocationLong: Charlotte, North Carolina US