Senior Branch Compliance Manager

Equitable

Branch Compliance Senior Manager supporting compliance for financial advisors in the Greater NY Complex at Equitable. Leading compliance efforts within a hybrid work environment in Melville, NY.

Posted 6/11/2026full-timeMelville • New York • 🇺🇸 United StatesSenior💰 $102,000 - $120,000 per yearWebsite

About the role

Key responsibilities & impact

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

What you’ll need

Bachelors degree OR 10+ years of work experience
6+ years of experience working as a 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 OR FINRA 63/65 FINRA Series 24 registration

Benefits

Comp & perks

medical
dental
vision
401(k) plan
paid time off

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance supportfinancial advisor complianceauditsbusiness practices inspectiontrainingeducation

Soft Skills

investigative skillsinterpersonal skillssupervisory skills

Certifications

FINRA Series 7FINRA Series 66FINRA 63FINRA 65FINRA Series 24