Remote Advice Controls & Operations Manager
Remote Advice Controls & Operations Manager
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1 Vacancy
Job Description
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
The Remote Advice Controls & Operations Manager will focus on the supervision of 75 Financial Professionals and support operational processes and activities for Field Programs with specific emphasis on driving Advisor Assist program growth.
Responsible for compliance and supervision of the Financial Professionals on the Remote Advice team by ensuring sales practices account documentation and books and records comply with SEC FINRA and state rules and insurance regulations. Create SharePoint site for all supervision activities and manage updates.
The manager will be goal oriented with a solutions-based mindset and possess critical thinking skills while gaining exposure to Wealth Management operations and Equitables retail business.
This role reports to our Operations and Supervision Director and collaborates with AHCA Compliance Sales Managers and advisors to deliver on the needs of clients and advisors from supervision and operations perspective.
Key Responsibilities
Supervision:
Partner with Branch Controls Manager to monitor and maintain various compliance surveillance reports - Supervise advertising correspondence outside business activities
- Conduct Financial Professionals compliance audits
- Ongoing Financial Professional compliance training
Operations:
- Manage Advisor Assist Program renewals and partner with Advisor Assist sales manager to manage program sentiment
- Create reports and tracking for Advisor Assist Client Retention Program
- Document and share best practices and solutions to drive measurable outcomes
The base salary range for this position is $65000 - $80000. 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
3 Years of Experience with FINRA Series 7 and Series 63 or Equivalent is Required - Ability to obtain FINRA Series 24 license within 90 days of hire
- Thorough knowledge of life annuity investment products; including proprietary and non-proprietary and investment products offered through LPL Network as well as Salesforce and ClientWorks technology
- Superior client relationship building skills and coaching capabilities
- Experience managing customer relationships and/or client accounts and superior communication skills
- Excellent verbal and written communication skills ability to read and interpret documents/make recommendations from data discuss investments with clients and advisors
Preferred Qualifications
- Excellent interpersonal and communication skills
- Strong analytical skills
- Strong ability to work effectively in a variety of situations and respond to change in a positive manner
- Ability to collaborate with business partners
- Ability to manage multiple projects and initiatives
- Ability to influence and work effectively with team
- Excellent leadership conflict resolution people management and coaching skills
- Ability to motivate a team and attain individual and team goals. Achievement oriented
Skills
Effective Communications: Understanding of effective communication concepts tools and techniques; ability to effectively transmit receive and accurately interpret ideas information and needs through the application of appropriate communication behaviors.
Knowledge of Organization: Knowledge of the organizations vision structure culture philosophy operating principles values and code of ethics; ability to understand the value of aligning capabilities with business goals to support optimal performance.
Managing Multiple Priorities: Knowledge of effective self-management practices; ability to manage multiple concurrent objectives projects groups or activities making effective judgments as to prioritizing and time allocation.
ABOUT EQUITABLE
At Equitable were 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.
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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 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 or email us at.
Required Experience:
Manager
Employment Type
Full-Time
