Branch Compliance Manager (On-Site)

EQH; Minneapolis (MN); On-site; USD 80,000 - 100,000; Full time

Benefits offered by this job

Medical

Dental

Vision

401(k)

Paid time off

Job summary

Equitable in Minneapolis is seeking a Branch Controls Manager (BCM) to oversee branch compliance, supervise Financial Professionals, and ensure adherence to SEC, FINRA, and state regulations including Reg BI.

The role requires in-office presence Monday through Friday from 8:00 AM to 5:00 PM CST and reports to the Chief of Controls for the Central Complex. Base salary ranges from $80,000 to $100,000 with benefits.

Qualifications

• Bachelor's Degree required.
• 2 years of compliance-related experience in financial services or insurance.
• FINRA Series 7, 65 or 66, 24 registrations active upon hire.
• FINRA Series 51 or 53 active upon hire OR obtainable within 180 days.
• Knowledge of life, annuity, investment, and advisory products.

Responsibilities

• Ensure compliant sales practices, documentation, and books/records per SEC, FINRA, state rules, DOL disclosures, and Reg BI.
• Monitor and maintain compliance surveillance reports.
• Supervise advertising, outside business activities, gifts, and DBAs; manage client complaints.
• Conduct audits of Financial Professionals’ compliance, sales practices and locations.
• Support compliance training and development for Branch Financial Professionals.
• Provide guidance to staff to ensure compliance and operational effectiveness.
• Collaborate with BCM communities on system enhancements and process improvements.

Skills

Audit & Compliance

Regulatory knowledge

Communication

Cross-functional collaboration

Analytical thinking

Education

Bachelor's Degree

Job description

Branch Compliance Manager (On-Site) (260000H7)

Primary Location

: UNITED STATES-MN-Minneapolis

Organization

: Equitable

Schedule

: Full-time

About the Role

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.

Equitable is looking for an experienced Branch Controls Manager (BCM) to join our team in Minneapolis, MN. This role will report to the Chief of Controls for the Central Complex. The BCM will assist the Branch Manager with the compliance supervision of the Financial Professionals for the Branch.

This role requires full-time, in-office presence Monday through Friday, aligning with core hours (8:00 AM–5:00 PM CST) to ensure consistent, real-time compliance support and a high-quality customer experience.

What You’ll Be Doing

• Responsible for ensuring suitable sales practices, account documentation, and books and records. Comply with SEC, FINRA and state rules and insurance regulations, including oversight of DOL disclosures and Regulation Best Interest (Reg BI).
• Monitor and maintain various compliance surveillance reports.
• Supervise advertising, correspondence, outside business activities, gifts and entertainment, DBAs. Manage and elevate client complaints.
• Conduct Financial Professionals’ compliance audits, including review of business, sales practices, and inspection of physical locations.
• Support compliance training and development of Branch Financial Professionals.
• Provide ongoing guidance and direction to Financial Professionals and Branch staff to support compliance, operational effectiveness, and best practices.
• Partner with BCM communities to support system enhancements, testing, and process improvement initiatives as needed.

The base salary range for this position is $80,000 — $100,000. 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.

For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below.

• medical
• dental
• vision
• a 401(k) plan
• paid time off

Equitable Pay and Benefits: Equitable Total Rewards Program

What You Will Bring

Required Qualifications:

• Bachelors Degree
• 2 years of experience in a compliance-related or compliance-supporting role within financial services or insurance industry.
• FINRA Series 7, 65 or 66, 24 registrations, active upon hire.
• FINRA Series 51 or 53 active upon hire OR ability to obtain within 180 days of hire date.
• Knowledge of life, annuity, investment, and advisory products.

Key Competencies

• Knowledge of industry related to federal, state, and local laws and regulations.
• Demonstrated analytical and problem-solving skills, with the ability to interpret data, identify trends, and support risk-based decision-making.
• Effective communication and collaboration skills, with a proven ability to partner cross-functionally and clearly translate complex compliance concepts.
• Ability to manage multiple priorities in a fast-paced, deadline-driven environment while maintaining high standards of quality and compliance.
• A proactive, growth-oriented mindset with a commitment to continuous learning, process improvement, and staying current on regulatory changes and industry best practices.
• Demonstrated ability to make sound business decisions while collaborating effectively with Branch and Complex leadership.

Skills

Audit and Compliance Function: Knowledge of major responsibilities and tasks of Audit and Compliance (A&C) function, ability to manage the operation of A&C function in various business environments.

Insurance Legal and Regulatory Environment: Knowledge of federal, state and local laws and regulations; ability to comply with these laws and regulations in insurance industry practices and activities.

Risk Assessment: Knowledge of methods and techniques used to identify actual and potential hazards or loss exposures; ability to evaluate the risks according to processes and guidelines.

Risk Management: Knowledge of processes, tools and techniques for assessing and controlling an organization’s exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.

Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to research and comply with relevant laws and regulations during business activities.

About Equitable

At Equitable, we’re a team 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.

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 [phone] or email us at [e-mail].