Chief Compliance Officer
Chief Compliance Officer
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Job Description
Minimum Qualifications:
Bachelors degree
FINRA Series 6 or 7 and 26 or 24
7 years of established compliance experience preferably with a wholesale distributing broker dealer and/or in a senior compliance level role.
Demonstrated understanding of SEC FINRA and State Insurance laws rules and regulations.
Proven knowledge and understanding of the variable individual and group annuity retirement markets and practices.
Substantiated track record of implementing policy and procedure updates.
Ability to balance business needs in a practical fashion while ensuring compliance with EDL policy and applicable financial industry laws rules and regulations.
Microsoft Office applications including Excel WORD and other Microsoft applications.
Ability to work independently and meet deadlines while handling multiple tasks with minimal supervision.
Established working knowledge of Microsoft Office applications including Excel WORD and other Microsoft applications.
Preferred Qualifications:
Flexible and willing to respond to unanticipated issues and constantly reprioritize based on business demands
Self-motivated with effective time management skills
Ability to both think on your feet and think creatively
Professional energetic team-player with outgoing personality and positive attitude and outlook
Ability to work independently and meet deadlines while handling multiple tasks with minimal supervision
Skills
Accuracy and Attention to Detail: Understand the necessity and value of accuracy; ability to complete tasks with high-level of precision.
Coaching Others: Knowledge of coaching and mentoring concepts and methods; ability to encourage motivate and guide individuals in learning and improving effectiveness.
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.
Effective Communication: Understand 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.
Insurance Legal and Regulatory Environment: Knowledge of federal state and local laws and regulations; ability to comply with these laws and regulations in insurance industry practices and activities.
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.
Regulatory Environment - Financial Services: Knowledge of regulatory environment; ability to help an organization comply with regulations at the federal state and local level and follow the organization-specific policies and guidelines affecting business practices.
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.
ABOUT EQUITABLE
At Equitable were a team 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 .
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
Reporting directly to the Equitable Financial Chief Compliance Officer the role is responsible for maintaining developing and managing the overall compliance program functions within Equitable Distributors LLC (EDL). This includes providing compliance support and guidance to EDL business areas related to wholesale distribution functions of EDL that include the distribution of variable annuity group annuity life insurance and mutual funds.
As Chief Compliance Officer youll be responsible for the following:
Monitoring FINRA SEC State and Insurance department laws rule and regulations and ensure that EDL meets new or developing requirements.
Overseeing EDLs compliance program to ensure it meets regulatory rule requirements and where appropriate strive for constant improvement.
Providing advice and counsel to each EDL business line as a trusted partner that fosters open collaboration and communication while adhering to EDLs high standards.
Managing Regulatory Examinations inquiries and reviews.
Overseeing and managing the EDL Compliance team that provides day-to-day compliance support as well as insurance licensing/FINRA registration processing.
The role also includes direct involvement in the performance of various compliance oversight functions that include but are not limited to:
FINRA Rule 3120/3130 testing and reporting.
Conducting OSJ non-branch and Residential Supervisory Location inspections (remotely).
Developing content for Annual Compliance Meetings including delivery to EDL personnel.
Maintenance and updating of EDL Supervisory and Compliance Manual.
Development and oversight of Firm Element program.
Review of outside business activity (OBA) requests.
Providing guidance and monitoring of non-cash compensation.
Evaluation and approval of new hire candidates.
Conducting new hire compliance orientations.
Making observations and recommendations for improvements to internal controls and policies/procedures.
Planning testing and drafting Compliance reports.
The ideal candidate would demonstrate knowledge of:
SEC FINRA and State laws rules and regulations.
Variable products mutual funds and their distribution.
FINRAs non-cash compensation rules.
In Office Schedule: This team member will be working in office 2-3 days pers week.
If you are ready for this exciting challenge dont hesitate and apply today!
The total targeted compensation range for this position is$260000-$300000. Total compensation varies based on skills experience geographical location and other factors.
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:
Chief
Employment Type
Full-Time
