Equitable

Compliance Examiner

Equitable

full-time

Posted on:

Location Type: Hybrid

Location: Charlotte • New York • North Carolina • United States

Visit company website

Explore more

✨ AI Apply
Apply

Salary

💰 $75,000 - $85,000 per year

About the role

  • Assist in conducting Non-Field OSJ Exams and drafting reports with recommendations
  • Develop and implement examination protocols for Equitable Advisors' FINRA registered non-field OSJ locations
  • Ongoing responsibility to update and maintain multiple metric reports
  • Maintaining Equitable Advisors Written Supervisory Procedures
  • Conduct Residential Supervisory Location, Supervisory Branch Locations and Non-Branch Location exams
  • Up to 15% travel is required
  • Assist with RegEd Vendor Relationship Management and Data Analytic Reporting

Requirements

  • FINRA Series 7 license or willingness to obtain within 180 days
  • Bachelor's degree or equivalent
  • 2+ years Compliance experience is preferred
  • Knowledge of life, annuity, investment advisory products and FINRA/SEC Rules and Regulations
  • Knowledge of brokerage and advisory operations processing is preferred
  • Must have strong Excel, Microsoft Office, and Access knowledge
  • AI Awareness: a basic understanding of AI concepts for learning how AI tools can be used to drive process efficiency
  • Strong analytical, administrative and communication skills
  • Knowledge of data gathering and analysis tools, techniques, and processes
  • Knowledge of risk and control self-assessment (RCSA)
  • Knowledge of securities laws and regulations
Benefits
  • Health insurance
  • 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
ComplianceData AnalysisRisk and Control Self-Assessment (RCSA)Knowledge of FINRA/SEC Rules and RegulationsKnowledge of brokerage and advisory operationsMetric ReportingExamination ProtocolsReport DraftingAI ConceptsKnowledge of life, annuity, investment advisory products
Soft Skills
Analytical SkillsAdministrative SkillsCommunication Skills
Certifications
FINRA Series 7 LicenseBachelor's Degree