Hybrid Branch Controls & Compliance Leader

Equitable; Buffalo (NY); Hybrid; USD 75,000 - 105,000; Full time

Benefits offered by this job

Medical benefits

401(k) plan

Paid time off

Job summary

Equitable seeks a Branch Controls Manager to strengthen internal controls and risk management across NY offices with a hybrid schedule (Albany, Buffalo, Syracuse). The role collaborates with leadership to implement compliant processes, oversee OBAs, G&E, and regulatory filings, and coach teams on policy adherence and training programs.

The position targets professionals with 2+ years in a compliance-related role within financial services, FINRA registrations, and knowledge of life products,

Qualifications

• Bachelor’s degree or equivalent professional work experience.
• 2+ years of experience in a compliance-related or compliance-supporting role within financial services or insurance industry.
• Active FINRA SIE and/or Series 7 registrations upon hire.
• FINRA Series 24 registration upon hire or the ability to obtain within 120 days of hire.
• Working knowledge of life insurance, annuities, and investment/advisory products.

Responsibilities

• Conduct daily reviews and approvals of suitability documentation and required paperwork, including oversight of DOL calculations and Reg BI compliance.
• Review and manage incoming and outgoing client funds and correspondence, ensuring accuracy, timeliness, and adherence to firm standards.
• Oversee the review and processing of OBAs, Gifts & Entertainment, advertising submissions, ADV filings, and DBAs.
• Lead annual associate interviews, including comprehensive client file reviews to ensure adherence to firm policies and regulatory requirements.
• Perform quarterly analysis of Tactical and Trending reports to identify, assess, and address potential risk patterns or emerging issues.
• Support the training and development of branch and complex sales teams, including contributing to the design and delivery of training programs for Financial Professionals.
• Partner with BCM communities to support system enhancements, testing, and process improvement initiatives as needed.
• Deliver presentations to branch employees and Financial Professionals on firm policy updates, key reminders, and compliance expectations.
• Manage and elevate client complaints through submission to the firm’s Client Relations Office, ensuring proper documentation and resolution tracking.
• Provide ongoing guidance and direction to branch staff and Financial Professionals to support compliance, operational effectiveness, and best practices.

Skills

Attention to Detail

Audit & Compliance

Risk Management

Regulatory Knowledge

Coaching Others

Communication Skills

Analytical Thinking

Education

Bachelor’s degree

Job description

Equitable seeks a Branch Controls Manager to strengthen internal controls and risk management across NY offices with a hybrid schedule (Albany, Buffalo, Syracuse). The role collaborates with leadership to implement compliant processes, oversee OBAs, G&E, and regulatory filings, and coach teams on policy adherence and training programs.

The position targets professionals with 2+ years in a compliance-related role within financial services, FINRA registrations, and knowledge of life products,