Branch Controls Manager

Equitable•Syracuse, NY

80d•$75,000 - $80,000•Hybrid

About The Position

The Branch Controls Manager role contributes to the organization’s compliance framework by assisting in the execution, monitoring, and continuous improvement of internal controls and risk management activities. This position supports efforts to ensure adherence to regulatory requirements, corporate policies, and internal standards by partnering with cross-functional teams to identify risks, document processes, and strengthen control environments. In collaboration with leadership, this role leads the organization in assessing, quantifying, testing and implementing controls to ensure compliance with internal business process rules and external regulations. This position offers a hybrid work schedule from our Syracuse, NY office, with an on–site presence of 2–3 days per week combining flexibility with team collaboration.

Requirements

Bachelor’s degree or equivalent professional work experience
2+ years of experience in a compliance-related or compliance-supporting role within financial services or insurance industry
Active FINRA SIE and/or Series 7 registrations upon hire
FINRA Series 24 registration upon hire or the ability to obtain within 120 days of hire
Working knowledge of life insurance, annuities, and investment/advisory products

Nice To Haves

FINRA Series 65 or 51 registration a plus
Foundational knowledge of internal controls, risk management, and compliance frameworks (e.g., SOX, COSO, or internal audit standards)
Strong analytical and problem-solving skills, with the ability to interpret data, identify trends, and support risk-based decision-making
Strong communication skills with the ability to engage and influence stakeholders at all levels of the organization
Exceptional attention to detail and organizational skills to manage documentation, testing activities, and audit support with precision
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 leadership

Responsibilities

Conduct daily reviews and approvals of suitability documentation and required paperwork, including oversight of DOL calculations and Regulation Best Interest (Reg BI) compliance
Review and manage incoming and outgoing client funds and correspondence, ensuring accuracy, timeliness, and adherence to firm standards
Oversee the review and processing of Outside Business Activities (OBAs), Gifts & Entertainment (G&E), advertising submissions, ADV filings, and DBAs
Lead annual associate interviews, including comprehensive client file reviews to ensure adherence to firm policies and regulatory requirements
Perform quarterly analysis of Tactical and Trending reports to identify, assess, and address potential risk patterns or emerging issues
Support the training and development of branch and complex sales teams, including contributing to the design and delivery of training programs for Financial Professionals
Partner with BCM communities to support system enhancements, testing, and process improvement initiatives as needed
Deliver presentations to branch employees and Financial Professionals on firm policy updates, key reminders, and compliance expectations
Manage and escalate client complaints through submission to the firm’s Client Relations Office, ensuring proper documentation and resolution tracking
Provide ongoing guidance and direction to branch staff and Financial Professionals to support compliance, operational effectiveness, and best practices