Senior Branch Compliance Manager
Equitable
full-time
Posted on:
Location Type: Hybrid
Location: New York City • New York • United States
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Salary
💰 $102,000 - $120,000 per year
Job Level
About the role
- 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 location
- Assist in training, education of financial advisors
- Prepare for regulatory and internal audits
Requirements
- Bachelors degree or equivalent professional work experience
- 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 upon hire
- FINRA Series 24 registration upon hire or ability to obtain within 90 days of employment
Benefits
- medical
- dental
- vision
- 401(k) plan
- paid time off
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliance supportfinancial advisor complianceauditsbusiness practices inspectiontrainingeducation
Soft Skills
supervisioninvestigationcommunication
Certifications
Bachelors degreeFINRA Series 7FINRA Series 66FINRA Series 24