Regional Compliance Manager

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 50% required travel both locally and regionally.

Duties and Responsibilities include but are not limited to:

• Involves conducting announced and unannounced inspections & interviews of Equitable’ s Advisors Financial Professionals, business practices, including on-site examination of 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 50% travel required, when travel resumes to normal)
• Social Media Review of Financial Professionals content electronically via Hearsay Social
• 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
• Recommend process improvements to enhance process/modules efficiency.

Skills:

• Self-Starter, Organizational, analytical, investigative / auditing skills
• Ability to manage multiple priorities for various teams and meet deadlines
• 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.
• Ability to learn various electronic systems and have a strong proficiency.

Travel 30%-50% of the time

The base salary range for this position is $67,000-$97,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, 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.

Equitable Pay and Benefits: Equitable Total Rewards Program

This is a Hybrid position with locations in Woodbury, NY/ Woodbridge, NJ/ Charlotte, NC.

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Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision

Agile Project Management: Knowledge of effective agile project management strategies and tactics; ability to plan, organize, monitor, and control projects, ensuring efficient utilization of technical and administrative resources to achieve project objectives.

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.

Effective Communications: Understanding of 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.

Teamwork: Knowledge of the necessity and value of teamwork; experience with; ability to work cooperatively towards shared goals and being supportive of others at all levels.

Diversity, Equity and Inclusion: Demonstrates a commitment to Diversity, Equity and Inclusion by treating everyone with respect and dignity, ensuring all voices are heard and advocating for change.

Other Qualifications:

• Bachelor’s Degree preferred
• FINRA Series 7 and 24 Required. Additional exam requirements within 90 days of employment, obtaining Series 51 or 53, and 66 or 65-63, in either order.
• 5+ years’ experience in the financial services industry, prior experience in auditing preferred.
• Experience / knowledgeable of wealth management products Life Ins / Annuities / Broker Dealer.

ABOUT EQUITABLE

At Equitable, we’re a team of over ten thousand strong; committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.

We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities.

We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork.

We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.

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Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.

NOTE: Equitable participates in the E-Verify program.

If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us at TalentAcquisition@equitable.com.

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