Branch Controls Manager

Description

At Equitable, our power is in our people.

We're individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential?

Equitable is looking for a Branch Controls Manager to join our team! This position is a Hybrid position, located at our Stamford, CT office.

Key Job Responsibilities

• Will assist in compliance coverage for a Complex/Branch of 600+ FPs
• Ensures sales force meets annual compliance requirements, review sales to ensure suitability and meeting regulation best interest requirements, which will assist in production increase for branch and firm, assist in annual reviews of FPs within the branch and all other items from a compliance/supervision standpoint
• Key coordinator to ensure branch/complex sales force adheres to all compliance regulations and policies set by SEC, FINRA and the firm
• The Branch specifically requires an on-site Branch Controls Manager to ensure proper oversight of compliance functions as noted above.

The base salary range for this position is $102,000 to $152,000. 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. Eligibility for these programs depends on level and functional area of responsibility.

For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below.

Equitable Pay and Benefits: Equitable Total Rewards Program

Required Qualifications

• 3+ years of work experience in the financial services industry
• FINRA Series 7
• FINRA Series 24 Exam, required to obtain within 90 days of employment
• FINRA Series 51 or 53 - and - 66 or 65-63, in either order, required to obtain within 6 months of employment

Preferred Qualifications

• Prior experience in auditing, strongly desired
• Hands on work experience with Wealth Management products, such as Life Insurance, Annuities and/or Broker Dealer

Skills

Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.

Compliance Function: Knowledge of responsibilities and tasks of Audit and Compliance (A&C) function; ability to manage the operation of A&C function in various business environment.

Knowledge of Product Line: Knowledge of methodologies, tools and techniques for specific products; ability to develop product line processes and strategies.

Project Management: Knowledge of effective project management strategies and tactics; ability to plan, organize, monitor, and control projects, ensuring efficient utilization of technical and administrative resources to achieve project objectives.

Diversity, Equity and Inclusion: Demonstrates a commitment to Diversity, Equity and Inclusion by treating everyone with respect and dignity, ensuring all voices are heard and advocating for change.

ABOUT EQUITABLE

At Equitable, we’re a team of over ten thousand strong; committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.

We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities.

We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork.

We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.

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Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.

NOTE: Equitable participates in the E-Verify program.

If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us at TalentAcquisition@equitable.com.