Senior Supervision Principal (HYBRID)

Equitable•Charlotte, NC

3d•$76,000 - $93,000•Hybrid

About The Position

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 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.

Requirements

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
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.
Understanding of industry trends, regulatory considerations, and the ability to provide informed financial advice.
Knowledge of concept, methods, and processes of internal control; ability to create, implement, evaluate and enhance processes in internal controls.
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.

Nice To Haves

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)

Responsibilities

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.
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.
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.