Senior Compliance Manager
Equitable
full-time
Posted on:
Location Type: Hybrid
Location: Charlotte • New York • North Carolina • United States
Visit company websiteExplore more
Salary
💰 $80,000 - $90,000 per year
Job Level
About the role
- Monitor compliance with Firm policies and procedures in accordance with securities industry rules and regulations.
- Detect and resolve potential suitability and sales practice issues through available reports and systems.
- Advise and train branch management on compliance policies and procedures.
- Identify potential issues with patterns of trading activity.
- Stay informed of product features, new technologies and applications and their impact on firm policy.
- Collaborate with project leads on the team’s technology initiatives to advance our internal surveillance systems and processes.
Requirements
- Bachelor's degree
- Must have FINRA Series 7 or be willing to obtain within 12 months of employment
- Working knowledge of retail financial products
Benefits
- medical
- dental
- vision
- a 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 monitoringsuitability detectionsales practice resolutiontrading activity analysisinternal surveillance systems
Soft Skills
advisingtrainingcollaboration
Certifications
Bachelor's degreeFINRA Series 7