Hybrid Branch Compliance Senior Manager

Equitable; Melville (NY); Hybrid; USD 102,000 - 120,000; Full time

Benefits offered by this job

Medical, dental, and vision insurance

401(k)

Paid time off

Spot bonuses

Short-term incentive opportunities

Job summary

Equitable is seeking a Branch Compliance Senior Manager to support about 700 financial advisors in Melville, NY. This role involves providing compliance assistance, conducting audits, and ensuring adherence to regulations.

The ideal candidate has a Bachelor's degree or equivalent work experience, with at least 6 years in compliance roles. Candidates should be registered with FINRA and possess in-depth knowledge of financial services compliance.

The position offers a hybrid work model and a salary range of $102,000–$120,000, including full benefits.

Qualifications

• Minimum of 6+ years as a compliance professional supervising financial advisor activities.
• Experience with insurance, annuities, brokerage/advisory, and related products.
• Certified with FINRA Series 7 and 66 or FINRA 63/65, and Series 24 registration required.

Responsibilities

• Provide compliance support to the Greater New York Complex Controls Chief.
• Review and investigate compliance flags in review systems.
• Conduct compliance interviews and audits for financial advisors.
• Assist in training financial advisors and prepare for audits.

Skills

Accuracy and Attention to Detail

Audit and Compliance Function

Customer Focus

Effective Communications

Insurance Legal and Regulatory Environment

Regulatory Environment – Financial Services

Securities Laws and Regulations (SLR) Compliance

Education

Bachelor's degree or 10+ years of work experience

Job description

Equitable is seeking a Branch Compliance Senior Manager to support about 700 financial advisors in Melville, NY. This role involves providing compliance assistance, conducting audits, and ensuring adherence to regulations.

The ideal candidate has a Bachelor's degree or equivalent work experience, with at least 6 years in compliance roles. Candidates should be registered with FINRA and possess in-depth knowledge of financial services compliance.

The position offers a hybrid work model and a salary range of $102,000–$120,000, including full benefits.