Branch Compliance Manager
Branch Compliance Manager
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Salary Not Disclosed
1 Vacancy
Job Description
Required Qualifications
- Bachelors degree
- 3 Years experience in Compliance roles
- FINRA Series 7 66 24 and 51 registrations
- Knowledge of Life Annuity and Investment Products and Services
Preferred Qualifications
- Ability to make sound business and strategic decisions in partnership and conjunction with other leadership within the branch
- Excellent communications skills and demonstrated ability to interact effectively with all levels
Skills
Audit and Compliance Function: Knowledge of major responsibilities and tasks of Audit and Compliance (A&C) function ability to manage the operation of A&C function in various business environments.
Risk Assessment: Knowledge of methods and techniques used to identify actual and potential hazards or loss exposures; ability to evaluate the risks according to processes and guidelines.
Risk Management: Knowledge of processes tools and techniques for assessing and controlling an organizations exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.
Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities.
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ABOUT EQUITABLE
At Equitable were a team of over ten thousand strong; committed to helping our clients secure their financial wellbeing 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 wellbeing 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.
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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 EVerify 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)or email us at.
At Equitable our power is in our people.
Were individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here youll 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
Responsible for ensuring sales practices account documentation and books and records comply with SEC FINRA and state rules and insurance regulations. - Monitor and maintain various compliance surveillance reports.
- Supervise advertising correspondence outside business and DBA activities.
- Conduct Financial Professionals compliance audits including review of business practices and inspection of physical locations
- Ongoing Financial Professional compliance training.
The base salary range for this position is $85000 $90000. 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 shortterm 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 Experience:
Manager
Employment Type
Full-Time
