Branch Operations Manager

1 month ago


Syracuse, New York, United States Equitable Holdings Full time
Job Summary

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.
What We Offer

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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