Regional Compliance Manager; Hybrid

Job Description - Regional Compliance Manager (250000LL)

Regional Compliance Manager (250000LL)

UNITED STATES-NY-Williamsville

UNITED STATES-MA-Boston, UNITED STATES-NY-Rochester, UNITED STATES-CT-HARTFORD, UNITED STATES-NY-Syracuse, UNITED STATES-PA-Philadelphia

Equitable

Full‑time

At Equitable, our power is in our people. We are individuals from different cultures and backgrounds. 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.

Selected candidates will report to an Equitable location under a hybrid work arrangement with an expectation of approximately 30% required travel, both locally and regionally.

• Conduct announced and unannounced inspections & interviews of Equitable’s Advisors Financial Professionals and their business practices, including on‑site examination of registered & non‑registered office locations to determine compliance with industry regulations and firm 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 recommend resolution.
• Schedule examinations and make own travel arrangements via Concur app (approximately 30% travel).
• Conduct social media review of Advisors’ electronic content via Proofpoint Patrol.
• Provide regional compliance support to branch locations with compliance or staffing challenges.
• Mock audit branch compliance requirements to improve exam results.
• Assist with suitability review and other compliance reporting projects.
• Recommend process improvements to enhance efficiency of modules and processes.

The base salary range for this position is $85,000 – $90,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable offers performance‑based compensation, including salary increases, spot bonuses, and short‑term incentive opportunities. Eligibility for these programs depends on level and functional responsibilities.

Equitable provides a full range of benefits, 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).
• Self‑starter with strong organizational, analytical, investigative, and auditing skills.
• Ability to manage multiple priorities across teams and meet deadlines.
• Strong written, oral, and interpersonal skills.
• Ability to present in group or individual settings and explain policies and regulations.
• High degree of professional maturity, integrity, and personable approach.
• Proficient with various electronic systems.

• Additional FINRA registrations preferred (Series 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 the Audit and Compliance function; ability to manage its operation in various business environments.

Insurance Legal and Regulatory Environment: Knowledge of federal, state, and local laws and regulations; ability to comply with these laws in the insurance industry.

Risk Assessment: Knowledge of methods used to identify hazards or loss exposures; ability to evaluate risks according to processes and guidelines.

Risk Management: Knowledge of tools and techniques for assessing and controlling an organization’s exposure to risks; ability to apply risk management…