At Equitable, our power is in our people.

We're individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential?

Key Job Responsibilities

We are currently seeking a Branch Controls Manager to perform routine transactions, such as review and investigation of actions that trigger flags in various review systems.Conducts research and data gathering information from financial advisors.Will conduct annual financial advisor compliance interviews/audits, including inspection of business practices and physical location.Assists in training, education and tracking of financial advisors.Manages all required record retention.Provides support to branch controls manager Regional Director.Prepare for regulatory and internal audits.

The base salary range for this position is $82,000 - $95,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.

For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below.

Equitable Pay and Benefits: Equitable Total Rewards Program

At Equitable, our power is in our people.

We're individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential?

Key Job Responsibilities

We are currently seeking a Branch Controls Manager to perform routine transactions, such as review and investigation of actions that trigger flags in various review systems.Conducts research and data gathering information from financial advisors.Will conduct annual financial advisor compliance interviews/audits, including inspection of business practices and physical location.Assists in training, education and tracking of financial advisors.Manages all required record retention.Provides support to branch controls manager Regional Director.Prepare for regulatory and internal audits.

The base salary range for this position is $82,000 - $95,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.

For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below.

Equitable Pay and Benefits: Equitable Total Rewards Program

Required Qualifications

Minimum of 1-3 years in Compliance RoleFINRA Series 7, 66, 24 registrations required (Willing to Obtain Series 53 within 180 days of employment)Compliance professional with experience in supervising Financial Advisor activitiesStrong knowledge base in various products such as Insurance, Annuities, Brokerage/Advisory, Alternatives, etc.Ability to make sound business and strategic decisions in partnership and conjunction with other leadership within the branchExceptional interpersonal and collaboration skillsExceptional communication skills, good computer and organizational skills.Excellent communications skills and demonstrated ability to interact effectively with all levels

Skills

Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.Business Acumen: Knowledge of business concepts, tools, and processes that are needed for making sound decisions in the context of the company's business; ability to apply this knowledge appropriately to diverse situations. Communicating Complex Concepts:Knowledge of effective presentation tools and techniques to ensure clear understanding; ability to use summarization and simplification techniques to explain complex technical concepts in simple, clear language appropriate to the audience.Diversity, Equity and Inclusion: Demonstrates a commitment to Diversity, Equity and Inclusion by treating everyone with respect and dignity, ensuring all voices are heard and advocating for change.

ABOUT EQUITABLE

At Equitable, we’re a team of over ten thousand strong; committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.

We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities.

We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork.

We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.



Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.

NOTE: Equitable participates in the E-Verify program.

If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us atTalentAcquisition@equitable.com.

Required Qualifications

Minimum of 1-3 years in Compliance RoleFINRA Series 7, 66, 24 registrations required (Willing to Obtain Series 53 within 180 days of employment)Compliance professional with experience in supervising Financial Advisor activitiesStrong knowledge base in various products such as Insurance, Annuities, Brokerage/Advisory, Alternatives, etc.Ability to make sound business and strategic decisions in partnership and conjunction with other leadership within the branchExceptional interpersonal and collaboration skillsExceptional communication skills, good computer and organizational skills.Excellent communications skills and demonstrated ability to interact effectively with all levels

Skills

Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.Business Acumen: Knowledge of business concepts, tools, and processes that are needed for making sound decisions in the context of the company's business; ability to apply this knowledge appropriately to diverse situations. Communicating Complex Concepts:Knowledge of effective presentation tools and techniques to ensure clear understanding; ability to use summarization and simplification techniques to explain complex technical concepts in simple, clear language appropriate to the audience.Diversity, Equity and Inclusion: Demonstrates a commitment to Diversity, Equity and Inclusion by treating everyone with respect and dignity, ensuring all voices are heard and advocating for change.

ABOUT EQUITABLE

At Equitable, we’re a team of over ten thousand strong; committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.

We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities.

We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork.

We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.



Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.

NOTE: Equitable participates in the E-Verify program.

If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us atTalentAcquisition@equitable.com.