About the RoleThe
Branch Controls Manager role contributes to the organization's compliance framework by assisting in the execution, monitoring, and continuous improvement of internal controls and risk management activities. This position supports efforts to ensure adherence to regulatory requirements, corporate policies, and internal standards by partnering with cross-functional teams to identify risks, document processes, and strengthen control environments.
In collaboration with leadership, this role helps assess, quantify, test, and implement controls to support compliance with internal business process requirements and external regulations, while driving consistency, transparency, and operational integrity across the organization.
This position offers a hybrid work schedule, with 2-3 days in office combining flexibility with team collaboration. What You'll Be Doing - Conduct daily reviews and approvals of suitability documentation and required paperwork, including oversight of DOL calculations and Regulation Best Interest (Reg BI) compliance
- Review and manage incoming and outgoing client funds and correspondence, ensuring accuracy, timeliness, and adherence to firm standards
- Oversee the review and processing of Outside Business Activities (OBAs), Gifts & Entertainment (G&E), advertising submissions, ADV filings, and DBAs
- Lead annual associate interviews, including comprehensive client file reviews to ensure adherence to firm policies and regulatory requirements
- Perform quarterly analysis of Tactical and Trending reports to identify, assess, and address potential risk patterns or emerging issues
- Support the training and development of branch and complex sales teams, including contributing to the design and delivery of training programs for Financial Professionals
- Partner with BCM communities to support system enhancements, testing, and process improvement initiatives as needed
- Deliver presentations to branch employees and Financial Professionals on firm policy updates, key reminders, and compliance expectations
- Manage and escalate client complaints through submission to the firm's Client Relations Office, ensuring proper documentation and resolution tracking
- Provide ongoing guidance and direction to branch staff and Financial Professionals to support compliance, operational effectiveness, and best practices
The base salary range for this position is $72,783 - $120,093. 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 refer to the link below.
Equitable Pay and Benefits: Equitable Total Rewards Program
QualificationsWhat You'll Bring - Bachelor's degree in Finance, Accounting, Business Administration, Risk Management, or a related field-or equivalent practical experience
- Foundational knowledge of internal controls, risk management, and compliance frameworks (e.g., SOX, COSO, or internal audit standards)
- Strong analytical and problem-solving skills, with the ability to interpret data, identify trends, and support risk-based decision-making
- Strong communication skills with the ability to engage and influence stakeholders at all levels of the organization
- Exceptional attention to detail and organizational skills to manage documentation, testing activities, and audit support with precision
- Effective communication and collaboration skills, with a proven ability to partner cross-functionally and clearly translate complex compliance concepts
- Ability to manage multiple priorities in a fast-paced, deadline-driven environment while maintaining high standards of quality and compliance
- A proactive, growth-oriented mindset with a commitment to continuous learning, process improvement, and staying current on regulatory changes and industry best practices
- Demonstrated ability to make sound business decisions while collaborating effectively with branch leadership
- FINRA Series 51 license preferred
Required Qualifications - Minimum of 1+ year of experience in a compliance-related or compliance-supporting role
- Active FINRA SIE and/or Series 7 registration required
- FINRA Series 24 license, or the ability to obtain within 60 days of hire
- FINRA Series 65 or 66, or the ability to obtain within 6 months of hire
- Working knowledge of life insurance, annuities, and investment/advisory products
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 functions in various business environments.
Business Acumen: Knowledge of business concepts, tools, and processes that are needed for making sound decisions in the context of the company's business; ability to apply this knowledge appropriately to diverse situations.
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.
Risk Assessment: Knowledge of methods and techniques used to identify actual and potential hazards or loss exposures; ability to evaluate the risks according to processes and guidelines.
Risk Management: Knowledge of processes, tools, and techniques for assessing and controlling an organization's exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.
