Sr. Regional Compliance Manager

Key Job Responsibilities

• 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 recommend resolutions.
• 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 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.

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 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 Total Rewards Program

• FINRA Series 7 & 24 registrations required.
• 5-10 years’ experience in the financial services industry.
• Experience / knowledgeable of Wealth Management products Life Ins / 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 a 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 and Regulations (SLR) Compliance:
Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities.

At Equitable, we’re a team of over ten thousand strong; committed to helping our clients secure their financial well‑being so that they can pursue long and fulfilling lives.

We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at…