Equitable Advisors Deputy Chief Compliance Officer

AXA Equitable Holdings,Inc,•Charlotte, NC

65d•$260,000 - $300,000•Hybrid

About The Position

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? The Equitable Law Department's Mission is to Serve as Equitable's trusted counsel empowering Equitable to pursue its noble purpose by upholding the highest standards, forging collaborative relationships and delivering creative solutions. 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! We offer a flexible hybrid office/remote work environment, and this position is based in our Charlotte, NC or New York City office. Equitable is currently looking to hire a Deputy Chief Compliance Officer (DCCO) for Equitable Advisors within the National Compliance Office (NCO), which is a part of Equitable's Legal and Compliance organization. This role will be largely focused on the dynamic investment advisory business of Equitable Advisors, the focus of the firm's growth strategy. Equitable Advisors is a broker/dealer and registered investment advisor that serves as the main retail wealth management arm of Equitable. With over $100 billion in assets under management and 4,550 advisors, Equitable Advisors is in the top ten of independent broker dealers and is Equitable's fastest growing business segment. Reporting to Equitable's Advisors Chief Compliance Officer, the Equitable Advisors DCCO will be responsible for assisting in the development and oversight of Equitable Advisors' SEC and FINRA a compliance programs related to its investment advisory and broker/dealer operations. Reporting to the CCO are the Firm's 3120 audit teams, Surveillance oversight, regulatory reporting, regulatory examinations, and training programs. The DCCO must have a deep understanding of the investment advisory business and the retail financial services business more broadly. This team member must possess the ability to communicate effectively, develop and foster a collaborative relationship with the retail organization and field, oversee complex projects, perform risk-based prioritization of tasks, and pay attention to detail. The DCCO will help oversee and maintain a program that is not only able to respond to business needs and regulatory developments but to also proactively identify trends and adapt its approach accordingly. As one of the lead contacts for Equitable Advisors' senior management on all compliance matters, the DCCO must have the ability to synthesize issues, analyze risks, communicate clearly and properly escalate matters in a solutions-oriented matter. If you are ready for this exciting challenge, don't hesitate and apply today!

Requirements

Bachelor's Degree
FINRA Series 7 and 24
10 years compliance experience in the financial services industry
Substantive management experience
Experience in dealing with sophisticated investment advisory and securities brokerage compliance issues and substantive product knowledge in these areas
Full understanding of the requirements of the FINRA Rules, Investment Advisers Act of 1940 along with related regulatory guidance, and other aspects of the regulatory regime for SEC-investment advisers, as well as knowledge of federal and state securities laws and regulations more broadly

Nice To Haves

Demonstrated interpersonal skills and ability to establish and maintain effective working relationships with others
Ability to both "think on your feet" and think creatively
Professional, energetic, team-player with outgoing personality and positive attitude and outlook
Ability to work independently and meet deadlines while handling multiple tasks with minimal supervision

Responsibilities

Maintain ongoing knowledge of regulation and industry best practices.
Maintain and develop policies and procedures, internal controls, and supervisory procedures, continually assessing whether the firm's policies and procedures are adequate and commensurate with the changing nature of regulation and the Firm's business model.
Manage business risks through the development, planning and execution of the Compliance Program, having direct interaction with the executive team and financial professionals.
Conduct risk assessments of the Firm's compliance exposures, assigning a risk level to areas identified as a conflict and identify key controls to mitigate those conflicts.
Serve as a resource for compliance counsel and field management regarding compliance issues.
Provide close oversight over regulatory inquiries and examinations.
Conduct quarterly compliance oversight meetings with complex and executive management.
Help prepare the 3120/3130 report to the Chairman of Equitable Advisors and the Board.
Additional responsibilities as assigned.