Remote Regional Compliance Controls Manager

Equitable

Philadelphia (Philadelphia County)

On-site

USD 80,000 - 90,000

Full time

14 days+

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Job summary

Equitable is seeking an Audit & Compliance Examiner to conduct risk-based examinations of NSBOs and non-branch offices under FINRA 3110 and SEC rules. You will perform onsite and remote reviews, document findings, and work with Compliance, Legal, Risk Management, and Operations to enhance controls.

The role requires 5+ years in financial services, FINRA Series 7 and 24, and deep knowledge of life insurance and broker-dealer products.

Qualifications

Bachelor’s degree or equivalent professional work experience.
FINRA Series 7 and 24 registrations, active upon hire.
5+ years experience in the financial services industry.
Deep knowledge of Life Insurance, Annuities and Broker Dealer products.
Expertise in FINRA, SEC, and broker-dealer regulatory requirements, including FINRA Rule 3110.
Experience conducting onsite, remote, and virtual compliance examinations.
Proficiency with Microsoft Office Suite and compliance platforms including Pinpoint, Proofpoint, SRS Suitability Review System, RegEd AuditTrax, and FINRA Gateway.
Solid analytical, investigative, critical-thinking, and problem-solving skills.
Excellent written and verbal communication skills, with the ability to clearly document findings and provide regulatory guidance.
Exceptional organizational skills and ability to independently manage multiple examinations and competing priorities.

Responsibilities

Conduct risk-based periodic and for-cause examinations of NSBOs and Non-Branch Locations per FINRA 3110.
Perform onsite and remote examinations to assess compliance with SEC, FINRA, and firm policies.
Execute annual supervisory reviews of financial professionals, including assessment of customer account documentation, books and records, Annual Compliance Questionnaires, OBAs, DBAs, Forms U4, BR, and ADV Part 2B, advertising and communications, electronic communications, information protection practices, and social media activity.
Prepare examination workpapers and reports documenting findings, risk assessments, and corrective action recommendations; monitor remediation efforts through completion.
Maintain examination records in accordance with regulatory recordkeeping requirements.
Collaborate with Compliance, Legal, Risk Management, Operations, and supervisory personnel to address findings, provide regulatory guidance, and support continuous improvement of examination programs and testing methodologies.
Conduct reviews of Financial Professional social media profiles for regulatory compliance.