H-1B Visa Broker Dealer Jobs
Broker dealer roles fall under USCIS specialty occupation rules, requiring at least a bachelor's degree in finance, economics, or a related field. Most positions sit at H-1B visa cap-subject employers, so timing your job search around the April lottery window matters. FINRA licensing requirements add a credential layer most visa guides ignore.
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Get Access To All JobsBroker-Dealer Supervision Principal (HYBRID or REMOTE)
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 internal partners.
This position requires sound judgment, attention to detail, and the ability to balance advisor support with regulatory accountability. The Supervision Principal will provide day-to-day supervisory guidance, review and approve higher-risk matters, support audit readiness, and contribute to process improvement, technology adoption, and training across brokerage and financial planning operations. The role also includes handling inbound supervisory inquiries and escalating complex matters with clear recommendations and documentation.
What You’ll Be Doing
Supervisory & Principal Oversight
- Supervise third-party vendor relationships and outputs, including platforms such as Broadridge, to ensure accuracy, timely resolution, and compliance with FINRA, SEC, and firm requirements.
- Review and approve new business submissions for brokerage and advisory accounts, applying firm policies, regulatory requirements, and risk-based supervisory judgment.
- Provide principal approval for specialized or higher-risk products and activities, including options, discretion, and other activities requiring heightened supervisory review.
- 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, regulatory inquiries, and higher-risk matters, ensuring decisions are clearly documented and issues are remediated.
- Identify, assess, and mitigate risk within brokerage and financial planning processes through proactive supervision, quality review, issue tracking, and continuous improvement.
Advisor Support & Leadership
- Provide supervisory guidance to advisors and internal partners throughout the financial planning and new business lifecycle, including coaching on requirements, deficiencies, and documentation expectations.
- Serve as a knowledgeable resource for brokerage, advisory, financial planning, and account-related questions, including inbound supervisory 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, supervisory expectations, and regulatory standards.
- Participate in cross functional initiatives focused on process improvement, automation, and technology integration.
- Support vendor management activities for brokerage and financial planning tools, including issue escalation, output validation, procedure alignment, and user training.
This position offers a flexible work schedule: it may be fully remote/hybrid. If you are located near one of our offices (e.g., Charlotte, NC; New York, NY; Syracuse, NY), a hybrid schedule with 2–3 days on-site per week is expected to foster collaboration and connection. The remote work schedule allows you to stay fully engaged with your team to provide outstanding, customer-focused service during our core hours (8:30 AM–5:30 PM EST).
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 Will Bring
Required Qualifications
- Bachelor’s degree or equivalent combination of education and relevant work experience
- Minimum of 5 years of broker-dealer, brokerage operations, supervision, compliance, or financial services operations experience
- Experience with vendor oversight, output validation, issue escalation, or operational controls; Broadridge experience preferred
- Strong knowledge of new account processes, account maintenance, and regulatory requirements (FINRA/SEC)
- Experience supporting or reviewing financial planning activity, advisor workflows, or planning-related supervisory controls
- Active FINRA Series 7 and Series 24 licenses required
- Familiarity with CIP requirements and identity verification tools (e.g., LexisNexis)
- Proficiency with Microsoft Office, advanced features in excel and comfort working with operational systems, reporting tools, and workflow platforms
- Ability to communicate clearly with advisors, leadership, compliance partners, and operations teams while managing multiple priorities and deadlines
Preferred Qualifications
- Strong working knowledge of brokerage, advisory, and financial planning concepts, including retirement planning, advanced planning strategies, and complex client scenarios
- Strong regulatory and risk mindset
- Strong data validation, documentation, and quality review skills with a high attention to detail
- Demonstrated commitment to continuous learning and professional development
- FINRA Series 4 or other product-specific principal registrations
- Certified Financial Planner (CFP) and/or Certified Divorce Financial Analyst (CDFA)
Skills
Effective Communication: Ability to clearly explain supervisory decisions, regulatory requirements, process expectations, and remediation steps to advisors, leadership, and business partners.
Broker-Dealer and Financial Services Expertise: Strong understanding of brokerage operations, advisory workflows, financial planning concepts, regulatory considerations, and advisor support needs.
Risk Management and Internal Controls: Ability to evaluate risk, apply supervisory controls, identify process gaps, maintain documentation, and support audit-ready operations.
Managing Multiple Priorities: Ability to manage concurrent supervisory reviews, escalations, vendor issues, and process improvement activities while meeting deadlines and maintaining quality.
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. Click Careers at Equitable to learn more.
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.
Broker-Dealer Supervision Principal (HYBRID or REMOTE)
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 internal partners.
This position requires sound judgment, attention to detail, and the ability to balance advisor support with regulatory accountability. The Supervision Principal will provide day-to-day supervisory guidance, review and approve higher-risk matters, support audit readiness, and contribute to process improvement, technology adoption, and training across brokerage and financial planning operations. The role also includes handling inbound supervisory inquiries and escalating complex matters with clear recommendations and documentation.
What You’ll Be Doing
Supervisory & Principal Oversight
- Supervise third-party vendor relationships and outputs, including platforms such as Broadridge, to ensure accuracy, timely resolution, and compliance with FINRA, SEC, and firm requirements.
- Review and approve new business submissions for brokerage and advisory accounts, applying firm policies, regulatory requirements, and risk-based supervisory judgment.
- Provide principal approval for specialized or higher-risk products and activities, including options, discretion, and other activities requiring heightened supervisory review.
- 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, regulatory inquiries, and higher-risk matters, ensuring decisions are clearly documented and issues are remediated.
- Identify, assess, and mitigate risk within brokerage and financial planning processes through proactive supervision, quality review, issue tracking, and continuous improvement.
Advisor Support & Leadership
- Provide supervisory guidance to advisors and internal partners throughout the financial planning and new business lifecycle, including coaching on requirements, deficiencies, and documentation expectations.
- Serve as a knowledgeable resource for brokerage, advisory, financial planning, and account-related questions, including inbound supervisory 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, supervisory expectations, and regulatory standards.
- Participate in cross functional initiatives focused on process improvement, automation, and technology integration.
- Support vendor management activities for brokerage and financial planning tools, including issue escalation, output validation, procedure alignment, and user training.
This position offers a flexible work schedule: it may be fully remote/hybrid. If you are located near one of our offices (e.g., Charlotte, NC; New York, NY; Syracuse, NY), a hybrid schedule with 2–3 days on-site per week is expected to foster collaboration and connection. The remote work schedule allows you to stay fully engaged with your team to provide outstanding, customer-focused service during our core hours (8:30 AM–5:30 PM EST).
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 Will Bring
Required Qualifications
- Bachelor’s degree or equivalent combination of education and relevant work experience
- Minimum of 5 years of broker-dealer, brokerage operations, supervision, compliance, or financial services operations experience
- Experience with vendor oversight, output validation, issue escalation, or operational controls; Broadridge experience preferred
- Strong knowledge of new account processes, account maintenance, and regulatory requirements (FINRA/SEC)
- Experience supporting or reviewing financial planning activity, advisor workflows, or planning-related supervisory controls
- Active FINRA Series 7 and Series 24 licenses required
- Familiarity with CIP requirements and identity verification tools (e.g., LexisNexis)
- Proficiency with Microsoft Office, advanced features in excel and comfort working with operational systems, reporting tools, and workflow platforms
- Ability to communicate clearly with advisors, leadership, compliance partners, and operations teams while managing multiple priorities and deadlines
Preferred Qualifications
- Strong working knowledge of brokerage, advisory, and financial planning concepts, including retirement planning, advanced planning strategies, and complex client scenarios
- Strong regulatory and risk mindset
- Strong data validation, documentation, and quality review skills with a high attention to detail
- Demonstrated commitment to continuous learning and professional development
- FINRA Series 4 or other product-specific principal registrations
- Certified Financial Planner (CFP) and/or Certified Divorce Financial Analyst (CDFA)
Skills
Effective Communication: Ability to clearly explain supervisory decisions, regulatory requirements, process expectations, and remediation steps to advisors, leadership, and business partners.
Broker-Dealer and Financial Services Expertise: Strong understanding of brokerage operations, advisory workflows, financial planning concepts, regulatory considerations, and advisor support needs.
Risk Management and Internal Controls: Ability to evaluate risk, apply supervisory controls, identify process gaps, maintain documentation, and support audit-ready operations.
Managing Multiple Priorities: Ability to manage concurrent supervisory reviews, escalations, vendor issues, and process improvement activities while meeting deadlines and maintaining quality.
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. Click Careers at Equitable to learn more.
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.
See all H-1B Visa Broker Dealer Jobs
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Get Access To All JobsTips for Finding H-1B Visa Sponsorship in Broker Dealer
Align your degree to specialty occupation
USCIS scrutinizes broker dealer petitions because some firms argue the role doesn't require a specific degree. Document how your finance, economics, or business degree directly maps to the duties in your offer letter before filing.
Check FINRA licensing status before accepting offers
Series 7 and Series 63 exams require FINRA sponsorship from a registered broker dealer. Confirm your prospective employer is a FINRA member firm so you can sit for required exams without status complications after your H-1B is approved.
Target firms with LCA filing history on Migrate Mate
Search Migrate Mate to filter broker dealer employers by their DOL Labor Condition Application history. This shows which firms have actively sponsored H-1B workers in finance roles, so you're not cold-applying to companies with no sponsorship infrastructure.
Verify the prevailing wage tier for your metro
Broker dealer compensation varies sharply by city. Use the OFLC Wage Search to look up the Level I through Level IV wage for your SOC code and work location before negotiating, so your offer meets DOL certification requirements.
Request premium processing if your start date is fixed
Broker dealer desks often have firm onboarding dates tied to training cohorts or licensing exam windows. Premium processing gives USCIS a 15-business-day adjudication target, reducing the risk of missing a dated start tied to regulatory requirements.
Prepare an itinerary letter for multi-site work
Broker dealer roles sometimes involve rotations across branch offices or client sites. USCIS requires a separate LCA for each worksite location, so your employer must file additional LCAs and you should have an itinerary letter documenting each site in advance.
H-1B Visa Broker Dealer: Frequently Asked Questions
Does a broker dealer role qualify as an H-1B specialty occupation?
It can, but the petition requires careful documentation. USCIS looks for a direct relationship between the job duties and a specific bachelor's-level field such as finance, economics, or business administration. Generic job descriptions referencing broad business skills without degree specificity are common grounds for a Request for Evidence on broker dealer petitions.
Can I sit for FINRA licensing exams while my H-1B petition is pending?
Yes, if you're already authorized to work in the U.S. under a different status, such as OPT or a cap-gap extension. FINRA exam eligibility is tied to sponsorship by a registered member firm, not to H-1B approval specifically. Confirm your current work authorization covers the exam period with your employer's compliance team before scheduling.
Which types of broker dealers sponsor H-1B visas most consistently?
Larger registered investment advisors, bulge-bracket banks, and independent broker dealers with structured compliance departments tend to have established H-1B sponsorship processes. Smaller regional firms may lack in-house immigration counsel. You can review Labor Condition Application filing history by employer on Migrate Mate to identify which firms have sponsored roles matching your background.
Does working at multiple branch locations affect my H-1B petition?
Yes. DOL rules require a certified LCA for each worksite where you'll work for more than a limited period. If your broker dealer role involves regular work across branch offices, your employer must file separate LCAs covering each location. Your I-129 petition should include an itinerary letter documenting each site, date range, and applicable wage level.
What happens to my H-1B status if my broker dealer employer loses its FINRA registration?
A broker dealer that loses FINRA registration can no longer legally employ licensed representatives in that capacity, which would terminate the basis for your H-1B. You'd have a 60-day grace period under USCIS rules to find a new sponsoring employer and file a transfer petition. Acting quickly within that window protects your status while you secure a new position.