Senior Branch Compliance Leader (Hybrid)

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

Benefits offered by this job

Medical, dental, vision benefits

401(k) plan with company match

Paid time off

Job summary

Equitable is seeking a Branch Compliance Senior Manager for the Greater NY complex. The role focuses on supporting compliance activities for about 700 Financial Advisors, under the Chief of Controls. The position is hybrid with on-site presence 2-3 days weekly, enabling teamwork and independent work.

The ideal candidate will lead audits, supervise advisor activities, and drive training initiatives while navigating insurance, brokerage, and regulatory environments.

Qualifications

• Bachelor's degree OR 10+ years of work experience.
• 6+ years of experience supervising Financial Advisor activities.
• 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

Regulatory compliance

Audit and control

Effective communications

Attention to detail

Education

Bachelor's degree OR 10+ years of work experience

Job description

Equitable is seeking a Branch Compliance Senior Manager for the Greater NY complex. The role focuses on supporting compliance activities for about 700 Financial Advisors, under the Chief of Controls. The position is hybrid with on-site presence 2-3 days weekly, enabling teamwork and independent work.

The ideal candidate will lead audits, supervise advisor activities, and drive training initiatives while navigating insurance, brokerage, and regulatory environments.