Job Number: 10099
Job Number: 260000AT
External Description: About the Role Equitable is looking for a dynamic Branch Compliance Senior Manager to join our Branch Compliance team! Our Greater NY-CT Complex is seeking a highly-motivated Compliance professional with the ability to work independently to join our Long Island Branch Controls team. This is a vital role supporting ~700 Financial Advisors that reports up to the branch's Chief of Controls.
What You'll Be Doing - Provide compliance support to Complex Controls Chief for the Greater New York Complex
- Review and investigate actions that trigger flags in various review systems
- Conduct annual financial advisor compliance interviews/audits, including inspection of business practices and registered location
- Assist in training, education of financial advisors
- Prepare for regulatory and internal audits
This position offers a hybrid work schedule, with an on-site presence of 2-3 days per week combining flexibility with team collaboration.
The base salary range for this position is $102,000 - $120,000. 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:
- Bachelors degree OR 10 years of work experience
- 6 years of experience working as a compliance professional with experience in supervising Financial Advisor activities
- Experience and knowledge of Insurance, Annuities, Brokerage/Advisory, Alternatives, etc. products
- FINRA Series 7 and 66 OR FINRA 63/65
- FINRA Series 24 registration
Preferred Qualifications: - Ability to function independently with proactive decision-making skills
- Successful collaborator with exceptional communication skills
- Proven success in leading, assessing, quantifying, testing and implementing controls to ensure compliance with internal business process rules and external regulations for an organization
Skills Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.
Audit and Compliance Function: Knowledge of major responsibilities and tasks of Audit and Compliance (A&C) function; ability to manage the operation of A&C function in various business environment.
Customer Focus: Knowledge of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and ability to leverage that information in creating customized customer solutions.
Effective Communications: 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.
Insurance Legal and Regulatory Environment: Knowledge of federal, state and local laws and regulations; ability to comply with these laws and regulations in insurance industry practices and activities.
Regulatory Environment - Financial Services: Knowledge of regulatory environment; ability to help an organization comply with regulations at the federal, state and local level and follow the organization-specific policies and guidelines, affecting business practices.
Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities.
Community / Marketing Title: Branch Compliance Senior Manager (Melville, NY - HYBRID)
Location_formattedLocationLong: Melville, New York US
