Branch Compliance Manager (Onsite)

Equitable • Minneapolis, MN

418d • $75,000 - $100,000

About The Position

The Branch Compliance Manager at Equitable is responsible for overseeing compliance within the Minneapolis branch, ensuring adherence to SEC, FINRA, and state regulations. This role involves supervising sales practices, account documentation, and compliance audits, as well as providing ongoing training for Financial Professionals. The position requires a strong understanding of compliance regulations and the ability to make strategic decisions in collaboration with branch leadership.

Requirements

• Bachelor's degree
• 1+ years of experience in Compliance roles
• FINRA Series 7, 65, or 66 registrations
• FINRA Series 24 or must obtain within 60 days of hire date
• Knowledge of Life, Annuity, and Investment/Advisory Products

Nice To Haves

• FINRA Series 51 preferred
• Ability to make sound business and strategic decisions in partnership with other leadership
• Excellent communication skills and ability to interact effectively with all levels

Responsibilities

• Ensure sales practices, account documentation, and records comply with SEC, FINRA, and state rules and insurance regulations.
• Monitor and maintain various compliance surveillance reports.
• Supervise advertising, correspondence, outside business, and DBA activities.
• Conduct compliance audits for Financial Professionals, including reviewing business practices and inspecting physical locations.
• Provide ongoing compliance training for Financial Professionals.

Benefits

• Medical insurance
• Dental insurance
• Vision insurance
• 401(k) plan
• Paid time off

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree
• Number of Employees: 5,001-10,000 employees