Broker-Dealer Supervision Principal at Equitable Advisors | Torre
Broker-Dealer Supervision Principal
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Equitable Advisors

Broker-Dealer Supervision Principal

Equitable Advisors
Posted by
K
Emma
Emma
You'll shape financial well-being by ensuring regulatory integrity and driving operational excellence.
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Full-time

Legal agreement: Employment

Compensation is to be agreed upon.
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Remote (anywhere)
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Emma of Torre.ai
 about 19 hours ago

Requirements and responsibilities

We are looking for an experienced Broker-Dealer Supervision Principal to join our broker-dealer operations.This role is ideal for candidates with direct principal review experience, strong knowledge of FINRA and SEC requirements, and a proven track record in overseeing new business, vendor output, financial planning activity, and supervisory controls. This position can be remote.The successful candidate will be comfortable making risk-based decisions, documenting supervisory rationale, identifying process gaps, and serving as a trusted resource for advisors, field leadership, and internal partners.Key responsibilities include:Providing day-to-day supervisory guidance.Reviewing and approving higher-risk matters.Supporting audit readiness.Contributing to process improvement, technology adoption, and training across brokerage and financial planning operations.Handling inbound supervisory inquiries and escalating complex matters with clear recommendations and documentation.This position requires sound judgment, attention to detail, and the ability to balance advisor support with regulatory accountability.Company: Equitable Advisors
Optionally, you can add more information later (benefits, pre-screening questions, etc.)

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