Branch Compliance Manager (Anchor)

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Branch Compliance Manager (Anchor)

(230000XU) Primary Location : UNITED STATES-NY-New York Organization : Equitable Schedule : Full-time Description

At Equitable, our power is in our people. We're 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 position is located in New York, New York and is required to be onsite.

• Provide compliance support to Complex Controls Chief for Greater New York Complex
• Review and investigate actions that trigger flags in various review systems
• Suitability Review of Variable Annuity and Life Insurance cases.
• Conduct annual financial advisor compliance interviews/audits, including inspection of business practices and registered location
• Assist in training, education of financial advisors
• Prepare for regulatory and internal audits

The base salary range for this position is $81,000-$105,000. 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

#LI-ANCHOR

Qualifications

Required qualifications

• FINRA Series 7 required
• FINRA Series 24 required
• FINRA Series 66 required
• 3+ years industry compliance experience
• Compliance experience in financial services industry

Preferred qualifications

• Bachelors degree preferred

Skills

Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.

Agile Project Management: Knowledge of effective agile project management strategies and tactics; ability to plan, organize, monitor, and control projects, ensuring efficient utilization of technical and administrative resources to achieve project objectives.

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 environment.

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.

Communicating Complex Concepts: Knowledge of effective presentation tools and techniques to ensure clear understanding; ability to use summarization and simplification techniques to explain complex technical concepts in simple, clear language appropriate to the audience.

Knowledge of Product Line: Knowledge of methodologies, tools and techniques for specific products; ability to develop product line processes and strategies.

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.

Diversity, Equity and Inclusion: Demonstrates a commitment to Diversity, Equity and Inclusion by treating everyone with respect and dignity, ensuring all voices are heard and advocating for change.

ABOUT EQUITABLE 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 Equitable and in their local communities. We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork. We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose. ********** Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws. NOTE: Equitable participates in the E-Verify program. If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us at [email protected].