Equitable Advisors Compliance Examiner (HYBRID)

Equitable•Syracuse, NY

7d•$75,000 - $85,000•Hybrid

About The Position

At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives - a mission we’ve honed since 1859. At Equitable we have reimagined how we want to work and are guided by principles of inclusivity, flexibility, and connection. Come join Equitable's Compliance team and enjoy working for a leading financial company with an amazing and diverse culture! This exciting opportunity would have you join our National Compliance Office Examination Team to conduct Non-Field, Residential Supervisory Location, Supervisory Branch Locations and Non-Branch Location onsite and remote examinations. You will primarily conduct reviews of our non-field locations in Charlotte, New York City and Syracuse. You will examine and educate registered employees who work in several business areas; Individual Retirement, Group Retirement, Protection Services and Corporate Home Office Broker Dealer/ Equitable Advisors as well as our outsourced middle office relationship with LPL. If you are ready for this exciting challenge, click on the link below!

Requirements

FINRA Series 7 license or have a willingness to obtain within 180 days
Bachelor's degree or equivalent
2+ years Compliance experience is preferred
Knowledge of life, annuity, investment advisory products and FINRA/SEC Rules and Regulations
Must have strong Excel, Microsoft Office, and Access knowledge
AI Awareness: a basic understanding of AI concepts for learning how AI tools can be used to drive process efficiency and improve examination techniques.
Possess strong analytical, administrative and communication skills and can meet internal and external deadlines.
Knowledge of data gathering and analysis tools, techniques, and processes; ability to gather and analyze data on the learning needs of a target population.
Knowledge of risk and control self-assessment (RCSA); ability to assess, clarify, and appraise significant risks inherent in investment activities as well as to ensure that internal controls, policies, and procedures are accurate and adequate.
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.
Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities.
Accuracy and Attention to Detail: Understand the necessity and value of accuracy; ability to complete tasks with high-level of precision.
Effective Communication: Understand effective communication concepts, tools and techniques; ability to effectively transmit, receive, and accurately interpret ideas, information, and needs through the application of appropriate communication behaviors.
Managing Multiple Priorities: Knowledge of effective self-management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, making effective judgments as to prioritizing and time allocation.
Problem Solving: Knowledge of approaches, tools, techniques for recognizing, anticipating, and resolving organizational, operational or process problems; ability to apply knowledge of problem solving appropriately to diverse situations.

Nice To Haves

Knowledge of brokerage and advisory operations processing is preferred.

Responsibilities

Assist in conducting Non- Field OSJ Exams and drafting reports with recommendations and enhancements to senior business management
Development and implementation of examination protocols for Equitable Advisors' FINRA registered non field OSJ locations, service centers, and broker dealer
Ongoing responsibility to update and maintain multiple metric reports communicated to the CCO of Equitable Advisors and Executive Management
Maintaining Equitable Advisors Written Supervisory Procedures
Assist in the review and update of Non - Field OSJ Exam Team Guide and Standard Operating Procedures
Draft and edit precise and well-organized documents such as request lists, examination workpapers, memoranda, and correspondence regarding findings and conclusions
Conduct Residential Supervisory Location, Supervisory Branch Locations and Non-Branch Location
Assist with RegEd Vendor Relationship Management and Data Analytic Reporting

Benefits

For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off.
Equitable Pay and Benefits: Equitable Total Rewards Program

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