Branch Operations Manager
1 month ago
At Equitable Holdings, we're committed to fostering a diverse and inclusive work environment where individuals from various backgrounds and cultures can thrive. As a Branch Controls Manager, you'll play a vital role in overseeing the financial professionals at one of our regional offices, ensuring compliance with firm policies and regulations.
Key Responsibilities- Supervise and support financial professionals in their daily activities, providing guidance and training as needed.
- Conduct suitability reviews, including replacements and platform switches, to ensure compliance with regulatory requirements.
- Administer performance reviews for branch managers and direct reports, providing constructive feedback and coaching.
- Collaborate with the National Compliance Office to address FINRA inquiries and arbitration matters.
- Ensure adherence to firm compliance policies and procedures, maintaining a strong dotted line to the Branch EVP.
- Perform administrative duties, including email notifications, document preparation, and electronic filing of compliance-related documents.
As a valued member of our team, you'll enjoy a competitive salary range of $54,000-$74,000, depending on your skills, experience, and location. In addition to base pay, you'll be eligible for base salary increases, spot bonuses, and short-term incentive compensation opportunities. Our comprehensive benefits package includes medical, dental, vision, a 401(k) plan, and paid time off.
For more information on our Equitable Pay and Benefits, please visit our Total Rewards Program.
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Branch Controls Manager
4 weeks ago
Syracuse, New York, United States Equitable Services Full timeJob Title: Branch Controls ManagerAt Equitable, we're seeking a highly skilled Branch Controls Manager to join our team. As a key member of our branch operations, you will be responsible for overseeing the financial professionals and ensuring compliance with regulatory requirements.Key Responsibilities:Supervise financial professionals and ensure adherence...
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Branch Controls Manager
3 weeks ago
Syracuse, New York, United States Equitable Advisors LLC Full timeJob SummaryWe are seeking a highly skilled Branch Controls Manager to join our team at Equitable Advisors LLC. As a key member of our organization, you will be responsible for overseeing the financial operations of our branch, ensuring compliance with regulatory requirements, and providing guidance to our financial professionals.Key Responsibilities•...
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Branch Controls Manager
4 weeks ago
Syracuse, New York, United States Equitable Services Full timeJob Title: Branch Controls ManagerAt Equitable, we're seeking a Branch Controls Manager to join our team. As a key member of our organization, you will be responsible for supervising Financial Professionals and overseeing various functions within the branch.Key Responsibilities:Frontline Supervisor at registered branch locationAnnual Associate...
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Branch Controls Manager
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Branch Controls Manager
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