Sr. Regional Compliance Manager

Overview

At Equitable, our power is in our people. We are individuals from different cultures and backgrounds, and those differences make us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential?

This role is responsible for providing compliance support to Equitable’s branch locations both regionally and locally. It is an individual contributor role reporting to the Lead Regional Controls Manager / Central Supervision Unit and is based at an Equitable location with a hybrid work arrangement. The job requires approximately 30% travel locally and regionally.

• Conduct announced and unannounced inspections & interviews of Equitable’s Advisors Financial Professionals, business practices, including on‑site examination of registered & non‑registered office locations to determine compliance with industry regulations and internal policies.
• Collect and review data as part of the pre‑work audit process.
• Advise and educate Advisors on firm policies and procedures.
• Assist branch compliance personnel with identifying and addressing compliance issues.
• Provide timely reports that identify audit findings and recommendations for resolution.
• Schedule examinations and arrange travel via the Concur app (≈30% travel required).
• Review Social Media content of Financial Professionals electronically via Proofpoint Patrol.
• Provide regional compliance support to branch locations experiencing compliance or staffing challenges.
• Mock audit branch compliance requirements to improve exam results.
• Assist with adhoc compliance reporting projects and suitability reviews.
• Recommend process improvements to enhance efficiency of processes and modules.

The base salary range for this position is $85,000 – $90,000. Actual wages vary by experience, skills, and location. Equitable also offers performance‑based spot bonuses and short‑term incentive compensation opportunities. Employees qualify for a full benefits program including medical, dental, vision, a 401(k) plan, and paid time off.

• FINRA Series 7 & 24 registrations required.
• 5‑10 years of experience in the financial services industry.
• Knowledge of Wealth Management products (Life Insurance, Annuities, Broker‑Dealer).
• Strong organizational, analytical, investigative, and auditing skills.
• Ability to manage multiple priorities and meet deadlines.
• Excellent written, oral, and interpersonal communication skills.
• Ability to present complex policies and regulations in group or individual settings.
• Professional maturity, integrity, and a personable approach.
• Proficiency learning various electronic systems.

• Additional FINRA registrations (Series 66 or 65/63).
• Bachelor’s degree or equivalent work experience.
• Prior auditing experience.

• Audit and Compliance function expertise and operations management.
• Knowledge of federal, state, and local insurance laws and regulations.
• Risk assessment and management methodologies.
• Knowledge of securities laws and regulations and compliance practices.

Primary

Location:

United States – PA – Philadelphia
Other Locations:
United States – MA – Boston, United States – NY – Williamsville, United States – NY – Rochester, United States – CT – Hartford, United States – NY – Syracuse

Schedule:

Full‑time

Equitable is committed to providing equal employment opportunities to all employees, applicants, and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity, sexual orientation, age, national origin, mental or physical disabilities, veteran status, genetic information, or any other class protected by federal, state, or local laws. Equitable participates in the E‑Verify program. If reasonable accommodation is needed, please contact Human Resources at (212) 314‑2211 or email Ta

For detailed descriptions of our benefits and the full Equitable Total Rewards Program, please visit the provided link.