Regional Controls Manager, Wealth Management

Equitable•Washington, DC

16h•$80,000 - $90,000•Remote

About The Position

Equitable is looking for a Regional Controls Manager (RCM) to join our branch compliance team. Reporting in to the Lead Regional Controls Manager / Central Supervision Unit, you will take the lead on assessing, quantifying, testing and implementing controls to ensure compliance with internal business process rules and external regulations. The RCM is responsible for providing compliance support to Equitable’ s branch locations both regionally and locally, including IL, PA, VA, D.C., MD, NC and SC. This position offers a remote work arrangement plus up to 30%25 travel as required for onsite branch examinations based on business needs.

Requirements

Bachelor’s degree or equivalent professional work experience.
FINRA Series 7 and 24 registrations, active upon hire.
5+ years experience in the financial services industry.
Deep knowledge of Life Insurance, Annuities and Broker Dealer products.
Expertise in FINRA, SEC, and broker-dealer regulatory requirements, including FINRA Rule 3110.
Experience conducting onsite, remote, and virtual compliance examinations.
Proficiency with Microsoft Office Suite and compliance platforms including Pinpoint, Proofpoint, SRS Suitability Review System, RegEd AuditTrax, and FINRA Gateway.

Nice To Haves

Solid analytical, investigative, critical-thinking, and problem-solving skills.
Excellent written and verbal communication skills, with the ability to clearly document findings and provide regulatory guidance.
Exceptional organizational skills and ability to independently manage multiple examinations and competing priorities.

Responsibilities

Conduct risk-based periodic and for-cause examinations of Non-Supervisory Branch Offices (NSBOs) and Non-Branch Locations in accordance with FINRA Rule 3110, firm supervisory procedures, and regulatory requirements.
Perform onsite and remote examinations utilizing approved technologies to assess compliance with SEC, FINRA, and firm policies, and evaluate the effectiveness of operational and supervisory controls.
Execute annual supervisory reviews of financial professionals, including assessment of customer account documentation, books and records, Annual Compliance Questionnaires, Outside Business Activities (OBAs), Doing Business As (DBAs), Forms U4, BR, and ADV Part 2B, advertising and communications, electronic communications, information protection practices, and social media activity.
Prepare examination workpapers and reports that document findings, risk assessments, and corrective action recommendations; monitor and validate remediation efforts through completion.
Maintain examination records in accordance with regulatory recordkeeping requirements.
Partner with Compliance, Legal, Risk Management, Operations, and supervisory personnel to address findings, provide regulatory guidance, and support continuous improvement of examination programs and testing methodologies.
Conduct reviews of Financial Professional social media profiles, including LinkedIn, Facebook, and Instagram, to ensure compliance with applicable regulatory and firm requirements.
Prepare comprehensive examination workpapers and supporting documentation.
Draft examination reports detailing findings, observations, risk ratings, and corrective action recommendations.
Track remediation efforts and validate completion of corrective actions.
Maintain examination records in accordance with regulatory retention requirements.
Partner with Compliance, Legal, Risk Management, Operations, and Supervisory personnel to address examination findings.
Provide regulatory guidance and compliance education to field personnel.
Support the development and enhancement of examination methodologies and testing procedures.