Sr. Regional Compliance Manager; HYBRID

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.

This role is responsible for providing compliance support to Equitable’s branch locations both regionally and locally. This role is an individual contributor role reporting to the Lead Regional Controls Manager / Central Supervision Unit.

The selected candidate would report to an Equitable location under a Hybrid work arrangement with the expectation of approximately 30% required travel both locally and regionally.

• Involves conducting 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 the applicable firm policies and procedures.
• Collect and review data as part of pre-work audit process
• Advise and educate Equitable’s Advisors Financial Professionals 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 assigned examinations and make own travel arrangements via Concur app (approx 30% travel required, when travel resumes to normal)
• Social Media Review of Financial Professionals content electronically via Proofpoint Patrol
• Provide Regional compliance support to branch locations incurring branch compliance and/or staffing challenges.
• Mock Auditing of branch compliance requirements to improve branch exam results.
• Adhoc compliance reporting projects, assist with suitability review
• Recommend process improvements to enhance process/modules efficiency.

Note:

The base salary range is $85,000 - $90,000. 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

• FINRA Series 7 & 24 registrations required
• 5-10 years’ experience in the financial services industry.
• Experience / knowledge of Wealth Management products Life Insurance / Annuities / Broker Dealer.
• Self-Starter, strong organizational, analytical, investigative / auditing skills.
• Ability to manage multiple priorities for various teams and meet deadlines.
• Strong written, oral, and interpersonal skills.
• Ability to present in a group or individual environment, explain policies and regulations to others.
• High degree of professional maturity, integrity, ability to deliver a professional and personable approach.
• Strong ability to learn various electronic systems and have strong proficiency.

• Additional FINRA Registrations Preferred: 66 or 65/63.
• Bachelor’s Degree or equivalent work experience preferred.
• Prior auditing experience preferred.

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 environments.

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.

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.

Securities Laws…