Sr. Regional Compliance Manager

Sr. Regional Compliance Manager

Equitable. Apply for the Sr. Regional Compliance Manager role
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• Conduct announced and unannounced inspections and interviews of Advisors Financial Professionals and examine on-site registered and non-registered office locations to determine compliance with industry regulations and firm policies and procedures.
• Collect and review data as part of pre-work audit process.
• Advise and educate Advisors Financial Professionals on firm policies and procedures.
• Assist branch compliance personnel with identifying and addressing compliance issues.
• Provide timely reports that identify audit findings and recommendations for resolution.
• Schedule assigned examinations and make travel arrangements via Concur app; 30% travel required.
• Social Media Review of Financial Professionals content electronically via Proofpoint Patrol.
• Provide regional compliance support to branch locations incurring branch compliance and or staffing challenges.
• Mock auditing of branch compliance requirements to improve branch exam results.
• Adhoc compliance reporting projects; assist with suitability review.
• Recommend process improvements to enhance process and module efficiency.

• FINRA Series 7 and 24 registrations required.
• 5–10 years of experience in the financial services industry.
• Experience and knowledge of Wealth Management products Life Insurance, Annuities, and Broker Dealer.
• Self-starter with strong organizational, analytical, investigative and auditing skills.
• Ability to manage multiple priorities for various teams and meet deadlines.
• Strong written, oral, and interpersonal skills.
• Ability to present in a group or individual environment, explain policies and regulations to others.
• High degree of professional maturity, integrity, ability to deliver a professional and personable approach.
• Strong ability to learn and use various electronic systems with strong proficiency.

• Additional FINRA registrations: 66 or 65/63.
• Bachelor’s Degree or equivalent work experience.
• Prior auditing experience.

Base salary range $85,000 – $90,000. Actual base salaries vary based on skills, experience, and geographic location.

Medical, dental, vision, 401(k) plan, and paid time off. Equitable Total Rewards Program.

Full-time.

Primary:
Jersey City, NJ. Other locations include Woodbridge, Paramus, Edison, Cherry Hill, Toms River, Secaucus, Boston, Hartford, Burlington, Williamsville, Rochester, Syracuse, Morristown, Philadelphia.

Equitable 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.

NOTE:

Equitable participates in the E-Verify program.

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  or email us at Ta