Hybrid Branch Compliance Senior Manager

EQH; New York (NY); Hybrid; USD 102,000 - 120,000; Full time

Job summary

Equitable in New York combines a long history with a modern, client‑focused approach. The Branch Compliance Senior Manager will oversee compliance activities for the Greater NY-CT Complex, supporting about 700 financial advisors and reporting to the Chief of Controls.

You will lead controls assessments, conduct advisor interviews, assist in training, and prepare for regulatory audits. The role offers a hybrid schedule with 2–3 days on site and opportunities to influence risk management and

Qualifications

• Bachelor's degree OR 10 years of work experience.
• 6 years of experience working as a compliance professional with experience in supervising Financial Advisor activities.
• Experience and knowledge of Insurance, Annuities, Brokerage/Advisory, Alternatives, etc. products.
• FINRA Series 7 and 66 OR FINRA 63/65.
• FINRA Series 24 registration.

Responsibilities

• Provide compliance support to Complex Controls Chief for the Greater New York Complex.
• Review and investigate actions that trigger flags in various review systems.
• Conduct annual financial advisor compliance interviews/audits, including inspection of business practices and registered location.
• Assist in training, education of financial advisors.
• Prepare for regulatory and internal audits.

Skills

Accuracy and Attention to Detail

Audit and Compliance Function

Customer Focus

Effective Communications

Insurance Legal and Regulatory Env

Regulatory Environment - Financial

Securities Laws and Regulations (SLR)

Education

Bachelor's degree

Tools

FINRA Series 7 and 66 OR Series 63/65

FINRA Series 24 registration

Job description

Equitable in New York combines a long history with a modern, client‑focused approach. The Branch Compliance Senior Manager will oversee compliance activities for the Greater NY-CT Complex, supporting about 700 financial advisors and reporting to the Chief of Controls.

You will lead controls assessments, conduct advisor interviews, assist in training, and prepare for regulatory audits. The role offers a hybrid schedule with 2–3 days on site and opportunities to influence risk management and