Branch Controls Manager
4 weeks ago
We 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
• Suitability Review: Conduct thorough reviews of replacements and platform switches to ensure compliance with regulatory requirements.
• Annual Associate Interviews: Conduct annual interviews with financial professionals to assess their performance and provide feedback.
• Training of New Financial Professionals: Provide training and guidance to new financial professionals to ensure they have the necessary skills and knowledge to perform their duties.
• Enhanced Supervision: Provide enhanced supervision to financial professionals as needed to ensure compliance with regulatory requirements.
• Work with National Compliance Office: Collaborate with the National Compliance Office to address FINRA inquiries and arbitration.
• Dotted Line to Branch EVP: Maintain a dotted line to the Branch EVP to ensure financial professionals adhere to all firm compliance policies.
• Administer Performance Reviews: Administer performance reviews for branch BCMs and direct reports.
• Correspondence Review: Conduct reviews of correspondence to ensure compliance with regulatory requirements.
• Outside Business Activity Review: Conduct reviews of outside business activities to ensure compliance with regulatory requirements.
• G&E Review: Conduct reviews of G&E activities to ensure compliance with regulatory requirements.
• Advertising and Website Review: Conduct reviews of advertising and website content to ensure compliance with regulatory requirements.
• Administrative Duties: Perform administrative duties, including but not limited to, FP email notification of outstanding items, preparing documents for electronic signature, and electronic filing of compliance-related documents.
Requirements
• FINRA SIE, Series 7 Top Off Exam, 63, and 24, or ability to obtain all required registrations within the first 6 months.
• Strong ability to collaborate and communicate effectively.
• Basic understanding of the organization's financial performance and products is a plus.
• Ability to function independently with proactive decision-making skills.
• Attention to detail and problem-solving skills.
• Ability to resolve conflicts and problems independently.
About Equitable Advisors LLC
We are a team of over ten thousand strong, 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 Advisors LLC 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.
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