Branch Compliance Manager (On-Site)

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

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

401(k) plan

Paid time off

Job summary

Equitable is seeking a Branch Compliance Manager (BCM) to oversee compliance supervision of Financial Professionals in the Minneapolis, MN branch. The role requires full-time, in-office presence Monday through Friday, aligning with core hours 8:00 AM–5:00 PM CST.

Responsibilities include ensuring suitability of sales practices, audits, training, and cross-functional guidance to staff and leadership. Qualified candidates will have 2+ years in a compliance-related role, FINRA registrations, and

Qualifications

• 2+ years of experience in a compliance-related or compliance-supporting role within financial services or insurance.
• 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.
• Knowledge of federal, state, and local laws and regulations.

Responsibilities

• Ensure suitable sales practices, account documentation, and books and records; comply with SEC, FINRA and state rules and insurance regulations, including Reg BI disclosures.
• Monitor and maintain 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 locations.
• Support compliance training and development of Branch Financial Professionals.
• Provide ongoing guidance to Financial Professionals and Branch staff on compliance and operational best practices.
• Partner with BCM communities to support system enhancements, testing, and process improvements.

Skills

Regulatory compliance

Securities laws & FINRA

Audit & controls

Communication

Analytical thinking

Tools

None

Job description

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 missionwe’vehoned 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 onleveland 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.

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.

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’rea 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 toleveragetheir 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.

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: Equitableparticipatesin the E-Verify program.

If reasonable accommodation is needed toparticipatein 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] .