Regional Compliance Manager (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? This role is responsible for providing compliance support to Equitable' s branch locations both regionally and locally. This role is an individual contributor role reporting to the Lead Regional Controls Manager / Central Supervision Unit. The selected candidate would report to an Equitable' s Location under Hybrid work arrangement with the expectation of approximately 30% required travel both locally and regionally.
Requirements
- FINRA Series 7 & 24 registrations required
- 5-10 years' experience in the financial services industry.
- Experience / knowledgeable of Wealth Management products Life Ins / Annuities / Broker Dealer.
- Self-Starter, Strong organizational, analytical, investigative / auditing skills.
- Ability to manage multiple priorities for various teams and meet deadlines.
- Strong written, oral, and interpersonal skills.
- Ability to present in a group or individual environment, explain policies and regulations to others.
- High degree of professional maturity, integrity, ability to deliver a professional and personable approach.
- Strong ability to learn various electronic systems and have a strong proficiency.
Nice To Haves
- Additional FINRA Registrations Preferred: 66 or 65/63.
- Bachelor's Degree or equivalent work experience preferred.
- Prior auditing experience preferred.
Responsibilities
- Involves conducting announced and unannounced inspections & interviews of Equitable' s Advisors Financial Professionals, business practices, including on-site examination of registered & Non registered office locations to determine compliance with industry regulations and the applicable firm policies and procedures.
- Collect and review data as part of pre-work audit process
- Advise and educate Equitable' s Advisors Financial Professionals on firm policies and procedures
- Assist branch compliance personnel with identifying and addressing compliance issues
- Provide timely reports that identify audit findings and recommendations for resolution.
- Schedule assigned examinations and make own travel arrangements via Concur app (appx 30% travel required, when travel resumes to normal)
- Social Media Review of Financial Professionals content electronically via Proofpoint Patrol
- Provide Regional compliance support to branch locations incurring branch compliance and or staffing challenges.
- Mock Auditing of branch compliance requirements to improve branch exam results.
- Adhoc compliance reporting projects, Assist with suitability review
- Recommend process improvements to enhance process/modules efficiency.
Benefits
- Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Industry
Funds, Trusts, and Other Financial Vehicles
Number of Employees
5,001-10,000 employees
