Branch Compliance Manager
4 weeks ago
We are seeking a highly skilled Branch Compliance Manager to join our team at Equitable Advisors LLC. As a key member of our compliance team, you will be responsible for ensuring that our branch operations are in compliance with regulatory requirements and company policies.
Key Responsibilities- Conduct regular reviews and investigations of actions that trigger flags in various review systems.
- Conduct research and data gathering information from financial advisors.
- Assist in training, education, and tracking of financial advisors.
- Manage all required record retention.
- Provide support to branch controls manager Regional Director.
- Prepare for regulatory and internal audits.
- Minimum of 1-3 years in Compliance Role.
- FINRA Series 7, 66 registrations required & 24 registration preferred though willing to obtain Series 24 within 180 days of employment.
- Compliance professional with experience in supervising Financial Advisor activities.
- Strong knowledge base in various products such as Insurance, Annuities, Brokerage/Advisory, Alternatives, etc.
- Ability to make sound business and strategic decisions in partnership and conjunction with other leadership within the branch.
- Exceptional interpersonal and collaboration skills.
- Exceptional communication skills, good computer and organizational skills.
Equitable Advisors LLC offers a comprehensive compensation package, including a base salary range of $82,000 - $95,000, as well as opportunities for base salary increases, spot bonuses, and short-term incentive compensation. We also offer a full range of benefits, including medical, dental, vision, a 401(k) plan, and paid time off.
We are an equal employment opportunity employer and welcome applications from diverse candidates. 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 (212) or email us at .
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Branch Compliance Manager
4 weeks ago
Melville, New York, United States Equitable Advisors LLC Full timeWe are seeking a highly skilled Branch Compliance Manager to join our team at Equitable Advisors LLC. In this role, you will be responsible for conducting research and data gathering information from financial advisors, conducting annual financial advisor compliance interviews/audits, and managing all required record retention.Key Responsibilities:Conduct...
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