Compliance

• conducting announced and unannounced inspections & interviews of Equitable’ s Advisors Financial Professionals
• Collect and review data as part of pre-work audit process
• Advise and educate Equitable’ s Advisors Financial Professionals on firm policies and procedures
• Assist branch compliance personnel with identifying and addressing compliance issues
• Provide timely reports that identify audit findings and recommendations for resolution
• Mock Auditing of branch compliance requirements to improve branch exam results
• Adhoc compliance reporting projects
• Assist with suitability review

Regional Compliance Manager

Senior Manager, Compliance Monitoring and Oversight

Fund Compliance Manager

Associate Director, Regulatory Compliance

Director – Governance, Risk and Compliance

Solutions Advisory Manager, Compliance Solutions