Senior Supervision Principal (HYBRID)

Job 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 hand...