Senior Branch Compliance Manager - Hybrid

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

Benefits offered by this job

Medical, dental, vision benefits

401(k) plan with match

Paid time off

Job summary

Equitable is seeking a dynamic Branch Compliance Senior Manager to join our Greater NY-CT Complex. You will support approximately 700 Financial Advisors and report to the Chief of Controls, driving independent compliance oversight across the branch network.

This hybrid role includes leading audits, training, and advisor oversight while collaborating with senior leadership. The position fosters growth and strategic risk management within a respected financial services firm.

Qualifications

• Bachelor's degree required or 10+ years of work experience.
• 6+ years of experience in compliance supervising Financial Advisor activities.
• Experience with Insurance, Annuities, Brokerage/Advisory products and related lines.
• FINRA Series 7 and 66 OR Series 63/65 licenses or registrations.
• FINRA Series 24 registration is required.

Responsibilities

• Provide compliance support to Complex Controls Chief for the Greater New York Complex.
• Review and investigate actions that trigger flags in review systems.
• Conduct annual compliance interviews/audits of financial advisors and inspect business practices and locations.
• Assist in training and educating financial advisors.

Skills

Independent work

Communication skills

Controls testing

Audit coordination

Training advisors

Education

Bachelors degree

10+ years work experience

FINRA Series 7 and 66 OR Series 63/65

FINRA Series 24 registration

Job description

Equitable is seeking a dynamic Branch Compliance Senior Manager to join our Greater NY-CT Complex. You will support approximately 700 Financial Advisors and report to the Chief of Controls, driving independent compliance oversight across the branch network.

This hybrid role includes leading audits, training, and advisor oversight while collaborating with senior leadership. The position fosters growth and strategic risk management within a respected financial services firm.