Broker-Dealer Supervision Principal (HYBRID or REMOTE) ( 260000C8 )
**Primary Location** : UNITED STATES-Remote
**Other Locations** : UNITED STATES-NC-Charlotte, UNITED STATES-NY-Syracuse
**Organization** : Equitable
**Schedule** : Full-time
**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 int...