Branch Compliance Senior Manager (Melville, NY - HYBRID)

At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives—a mission we’ve honed since 1859. This is a vital role supporting ~700 Financial Advisors that reports up to the branch’s Chief of Controls.

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 locations
• Assist in training and education of financial advisors
• Prepare for regulatory and internal audits

Requirements

• 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

Preferred Qualifications

• Ability to function independently with proactive decision-making skills
• Successful collaborator with exceptional communication skills
• Proven success in leading, assessing, quantifying, testing, and implementing controls to ensure compliance with internal business process rules and external regulations for an organization

Skills

• Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.
• Audit and Compliance Function: Knowledge of major responsibilities and tasks of Audit and Compliance (A&C) function; ability to manage the operation of A&C function in various business environments.
• Customer Focus: Knowledge of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and ability to leverage that information in creating customized customer solutions.
• Effective Communications: Understanding of effective communication concepts, tools, and techniques; ability to effectively transmit, receive, and accurately interpret ideas, information, and needs through the application of appropriate communication behaviors.
• Insurance Legal and Regulatory Environment: Knowledge of federal, state, and local laws and regulations; ability to comply with these laws and regulations in insurance industry practices and activities.
• Regulatory Environment - Financial Services: Knowledge of regulatory environment; ability to help an organization comply with regulations at the federal, state, and local level and follow the organization-specific policies and guidelines, affecting business practices.
• Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities.

Schedule

This position offers a hybrid work schedule, with an on-site presence of 2–3 days per week combining flexibility with team collaboration.

Pay

The base salary range for this position is $102,000 - $120,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities.

Benefits

Equitable provides a full range of benefits, including:

• Medical, dental, and vision coverage
• 401(k) plan
• Paid time off

For detailed descriptions of these benefits, visit the Equitable Total Rewards Program.