Financial Intelligence Unit Program Quality and Training 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?

At Equitable we have reimagined how we want to work and are guided by principles of inclusivity, flexibility, and connection. Come join Equitable's Financial Intelligence Unit (FIU) and enjoy working for a leading financial company with an amazing and diverse culture! We offer a flexible hybrid office/remote work environment, and this position is based in our Charlotte, NC office.

Equitable is currently looking to hire a Quality and Training program manager responsible for implementing strategy and initiatives for the FIU Quality and Training programs. The individual will support the FIU quality assurance and improvement activities utilizing a data informed approach to continuously strengthen the compliance with regulatory guidelines and ensure that Financial Crime Program procedures, inclusive of Anti-Money Laundering (AML), Fraud, Sanctions, and Identity Theft, are executed timely, accurately and are complete. Create and deliver training tailored to relevant employees across multiple business lines to educate teams on responsibilities for Financial Crime compliance.

The manager will perform quality reviews on specific processes, work with the lead associate with their reviews and prepare reporting to be shared with senior management showing results, trending for training opportunities and that agreed objectives are met. The individual must have exceptional interpersonal and organizational skills. Must be able to build and maintain relationships throughout the company and draw on those relationships to drive the mission and priorities of the FIU.

The individual must be an independent worker that is self-driven. Individual will be expected to work independently with limited direction focusing their work based on an understanding of Equitable’s FIU quality and training needs.

Specific responsibilities include, but are not limited to:

Implement Quality and Training program strategies for the FIU

• Quality Manager for the AML processes:
  • Support and coach new/existing employees/offshore team
  • Perform quality reviews for AML investigations and Transaction Monitoring
  • Pull the quality samples and provide to lead associate for review
  • Assist in identifying and monitoring training needs based on quality review results
  • Assist in creating and share feedback sessions for training opportunities and update training documentation as necessary
  • Produce timely reports and documentation to meet with senior management to share the analyzed quality data gathered, trending and potential efficiencies and to ensure agreed objectives and team effectiveness is met
  • Facilitate monthly wrap up meeting with offshore team sharing quality results and calibrating scenarios
  • Act as a liaison between the first- and second-line teams and management to identify and mitigate any quality control issues
• Training Manager for required AML and Fraud training to relevant employees across multiple business lines
  • Assist in updating the Training Program strategy documents
  • Create and deliver training to educate teams on responsibilities for Fraud and AML compliance using Articulate software and PowerPoint. Work with Learning and Development for learning platforms for certain business lines.
  • Assist in scheduling annual Anti-money laundering and Fraud training with the relevant business areas
  • Stay current with State fraud training requirements and regulatory updates for the AML modules
  • Partner with Code of Conduct training team to ensure certain modules are included to cover the Anti-bribery Program
  • Review bi-annual LIMRA offerings
  • Attend regularly scheduled training meetings for All Company Training
  
  

The base salary range for this position is $54,000 - $81,000. 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+ year industry experience of broker dealer and compliance in anti-money laundering and fraud
• Quality and training experience
• Knowledge of fraud training state regulations
• Knowledge of the USA Patriot Act/Bank Secrecy Act (BSA). Regulatory requirements, including an understanding of OFAC sanctions and CDD/KYC requirements.
• Familiarity with AML Investigation tools, Bridger, World Check and NetReveal.
• Proficient skills in Microsoft Office applications, particularly Word and Excel.

Preferred Qualifications:

• Strong Knowledge of life, annuity, brokerage and investment advisory products and operations
• Knowledge of Equitable's products, processes and controls of the organization activities is a plus
• Demonstrated ability to influence others in a team environment
• Excellent written and verbal communication and presentation skills
• Ability to look for potential gaps and ways to bridge them. Ensure we are current with state and regulatory requirements.
• Must possess leadership skills and can successfully work alone and to maintain a team player attitude. Candidate should be able to work independently on a multitude of projects and ensure that both internal and external deadlines are met.
• Think creatively and innovatively, embracing innovative methods to demonstrate a point to keep the learner engaged.
• Practice active listening to make people feel comfortable to ask questions and provide their point of view as part of the training.

Skills

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

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.

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.