Branch Controls Manager
5 days ago
Job Summary
We are seeking a highly skilled Branch Controls Manager to join our team at Equitable Services. As a key member of our compliance team, you will be responsible for ensuring the integrity of our financial operations and maintaining the highest standards of regulatory compliance.
Key Responsibilities
- Conduct routine transactions, including review and investigation of actions that trigger flags in various review systems.
- Conduct research and data gathering information from financial advisors.
- Perform annual financial advisor compliance interviews/audits, including inspection of business practices and physical location.
- Assist in training, education, and tracking of financial advisors.
- Manage all required record retention.
- Provide support to the branch controls manager Regional Director.
- Prepare for regulatory and internal audits.
Requirements
- Minimum of 1-3 years in a compliance role.
- FINRA Series 7, 66, and 24 registrations required (willing to obtain Series 53 within 180 days of employment).
- Compliance professional with experience in supervising financial advisor activities.
- Strong knowledge base in various products, including insurance, annuities, brokerage/advisory, and alternatives.
- Ability to make sound business and strategic decisions in partnership with other leadership within the branch.
- Exceptional interpersonal and collaboration skills.
- Exceptional communication skills, good computer, and organizational skills.
About Equitable Services
At Equitable Services, we're 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 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 us and pursue a career with purpose.
Equitable Services 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.
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