Branch Compliance Manager (On-Site)

Equitable•Minneapolis, MN

1d•$80,000 - $100,000•Onsite

About The Position

Equitable is looking for an experienced Branch Controls Manager (BCM) to join our team in Minneapolis, MN. This role will report to the Chief of Controls for the Central Complex. The BCM will assist the Branch Manager with the compliance supervision of the Financial Professionals for the Branch. This role requires full-time, in-office presence Monday through Friday, aligning with core hours (8:00 AM–5:00 PM CST) to ensure consistent, real-time compliance support and a high-quality customer experience.

Requirements

Bachelors Degree
2+ years of experience in a compliance-related or compliance-supporting role within financial services or insurance industry.
FINRA Series 7, 65 or 66, 24 registrations, active upon hire.
FINRA Series 51 or 53 active upon hire OR ability to obtain within 180 days of hire date.
Knowledge of life, annuity, investment, and advisory products.
Knowledge of industry related to federal, state, and local laws and regulations.
Demonstrated analytical and problem-solving skills, with the ability to interpret data, identify trends, and support risk-based decision-making.
Effective communication and collaboration skills, with a proven ability to partner cross-functionally and clearly translate complex compliance concepts.
Ability to manage multiple priorities in a fast-paced, deadline-driven environment while maintaining high standards of quality and compliance.
A proactive, growth-oriented mindset with a commitment to continuous learning, process improvement, and staying current on regulatory changes and industry best practices.
Demonstrated ability to make sound business decisions while collaborating effectively with Branch and Complex leadership.
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 research and comply with relevant laws and regulations during business activities.

Responsibilities

Responsible for ensuring suitable sales practices, account documentation, and books and records. Comply with SEC, FINRA and state rules and insurance regulations, including oversight of DOL disclosures and Regulation Best Interest (Reg BI).
Monitor and maintain various compliance surveillance reports.
Supervise advertising, correspondence, outside business activities, gifts and entertainment, DBAs. Manage and escalate client complaints.
Conduct Financial Professionals’ compliance audits, including review of business, sales practices, and inspection of physical locations.
Support compliance training and development of Branch Financial Professionals.
Provide ongoing guidance and direction to Financial Professionals and Branch staff to support compliance, operational effectiveness, and best practices.
Partner with BCM communities to support system enhancements, testing, and process improvement initiatives as needed.