Senior Compliance Manager (HYBRID)

EQH • Charlotte, NC

22d • $80,000 - $90,000 • 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. 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, guided by principles of inclusivity, flexibility, and connection. Come join Equitable's Compliance team in the Company’s Law Department and enjoy working for a leading financial services company with an amazing and diverse culture! We offer a flexible hybrid office/remote work environment, and this position can be based in either our Syracuse, NY or Charlotte, NC office. The Senior Compliance Manager will join a dedicated team of experienced compliance professionals and play a pivotal role in identifying potential sales practice issues and trends in insurance, brokerage and advisory transactions.

Requirements

• Bachelor's degree
• Must have FINRA Series 7 or be willing to obtain within 12 months of employment
• Working knowledge of retail financial products
• Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.
• Business Acumen: Knowledge of business concepts, tools, and processes that are needed for making sound decisions in the context of the company's business; ability to apply this knowledge appropriately to diverse situations.
• Communicating Complex Concepts: Knowledge of effective presentation tools and techniques to ensure clear understanding; ability to use summarization and simplification techniques to explain complex technical concepts in simple, clear language appropriate to the audience.
• Data Gathering and Analysis: Knowledge of data gathering and analysis tools, techniques and processes; ability to gather and analyze data on the learning needs of a target population.
• Regulatory Environment - Financial Services: Knowledge of regulatory environment; ability to help an organization comply with regulations at the federal, state and local level and follow the organization-specific policies and guidelines, affecting business practices.
• Risk Analysis and Selection: Knowledge of risk analysis and selection; ability to utilize tools and techniques to analyze potential risk exposures and determine coverage.
• Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities.
• Technical Writing/Documentation: Knowledge of technical writing; ability to write technical documents such as manuals, reports, guidelines or documents on standards, processes and applications.

Nice To Haves

• Project management experience
• Exceptional organizational and multi-tasking skills to meet internal and external deadlines
• Leadership skills
• Ability to think creatively and embrace innovative problem solving
• Proficiency in Microsoft Office, especially Excel, Copilot, and Access
• Excellent verbal and written communications skills.
• Ability to interact and communicate effectively with firm management and home office groups.
• Self-starter and team player

Responsibilities

• Monitor compliance with Firm policies and procedures in accordance with securities industry rules and regulations.
• Detect and resolve potential suitability and sales practice issues through available reports and systems.
• Advise and train branch management on compliance policies and procedures.
• Identify potential issues with patterns of trading activity.
• Stay informed of product features, new technologies and applications and their impact on firm policy.
• Collaborate with project leads on the team’s technology initiatives to advance our internal surveillance systems and processes.

Benefits

• Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities.
• Eligibility for these programs depends on level and functional area of responsibility.
• For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off.
• Equitable Total Rewards Program

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level