Sr. Branch Compliance Manager

Woodbridge, CA - USA

Monthly Salary: $ 90397 - 144607

Posted on: 30+ days ago

Vacancies: 1 Vacancy

Job Summary

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 candidate should be located in the Woodbridge Atlantic Liberty office and report to the Chief of Controls for the Complex. This candidate will assist the Branch Managers of the Atlantic Liberty Branch with the supervision of the Financial Professionals for the branch as well as oversight from a Complex level for various functions.

Key Job Responsibilities

Suitability Review including the review of Replacements and Platform Switches
Annual Associate Interviews
Training of new Financial Professionals
Enhanced Supervision of Branch FPs as needed
Work with National Compliance Office - for any FINRA Inquiries or Arbitration
Dotted line to Branch EVP to ensure FP adherence to all firm compliance policies
Administer Performance Reviews for Branch BCMs/direct reports
Correspondence Review
Outside Business Activity review
G&E review
Advertising and Website review

The base salary range for this position is $90397 - $144607. Actual base salaries vary based on skills experience and geographical 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 work experience in the financial services industry
FINRA Series 7
FINRA Series 24 Exam required to obtain within 90 days of employment
FINRA Series 51 or 53 - and - 66 or 65-63 in either order required to obtain within 6 months of employment

Preferred Qualifications

Able to resolve conflicts and problems independently.
Attention to detail and problem solving skills
Ability to function independently with proactive decision-making skills
Strong ability to collaborate and strong communication skills
Basic understanding of the organizations financial performance and products is a plus.

Skills

Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.

Compliance Function: Knowledge of responsibilities and tasks of Audit and Compliance (A&C) function; ability to manage the operation of A&C function in various business environment.

Knowledge of Product Line: Knowledge of methodologies tools and techniques for specific products; ability to develop product line processes and strategies.

Project Management: Knowledge of effective project management strategies and tactics; ability to plan organize monitor and control projects ensuring efficient utilization of technical and administrative resources to achieve project objectives.

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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.

Required Experience:

Manager

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 rea...