Sr. Regional Compliance Manager

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At Equitable, our power is in our people. We are individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. You will work with dynamic individuals, build your skills, and unlock new ways of working and thinking. Are you ready to join an organization that will help unlock your potential?

• Conduct announced and unannounced inspections & interviews of Equitable’s Advisors Financial Professionals, review business practices, and perform on‑site examination of registered & 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 Equitable’s 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 recommend resolution.
• Schedule assigned examinations and arrange own travel via Concur app (approx 30% travel required).
• Review Financial Professionals’ social media content electronically via Proofpoint Patrol.
• Provide regional compliance support to branch locations facing compliance or staffing challenges.
• Mock audit branch compliance requirements to improve branch exam results.
• Assistance with suitability review and ad‑hoc compliance reporting projects.
• Recommend process improvements to enhance process/module efficiency.

The base salary range for this position is $85,000 - $90,000. Actual base salary varies by skills, experience, and location. Equitable offers performance‑based bonuses and short‑term incentive programs. Eligibility depends on level and functional area.

Equitable provides a full range of benefits: medical, dental, vision, 401(k) plan, paid time off, and more. For detailed descriptions, please refer to the internal link.

• FINRA Series 7 & 24 registrations required.
• 5‑10 years’ experience in the financial services industry.
• Experience with wealth‑management products, life insurance, annuities, and broker‑dealer operations.
• Strong organizational, analytical, investigative, and auditing skills.
• Ability to manage multiple priorities and meet deadlines.
• Excellent written, oral, and interpersonal communication.
• Ability to present policies and regulations to others in group or individual settings.
• High professional maturity, integrity, and personable approach.
• Proficiency with electronic systems.

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

Audit and Compliance Function: Knowledge of major responsibilities of the A&C function and ability to manage it across business environments.

Insurance Legal & Regulatory Environment: Knowledge of federal, state, and local laws and regulations applicable to insurance industry practices.

Risk Assessment & Management: Ability to identify hazards or exposures and evaluate risks according to processes and guidelines.

Securities Laws & Regulations Compliance: Ability to apply knowledge of securities laws and regulations during business activities.

Equitable is committed to helping clients secure financial well‑being and pursue a fulfilling life. We invest in our people through growth opportunities, internal mobility, and a culture of collaboration.

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.

Primary location:
Jersey City, NJ (UNITED STATES). Other locations:
Woodbridge, NJ;
Paramus, NJ;
Edison, NJ;
Cherry Hill, NJ;
Toms River, NJ;
Secaucus, NJ;
Boston, MA;
Hartford, CT;
Burlington, VT;
Williamsville, NY;
Rochester, NY;
Syracuse, NY;
Morristown, NJ;
Philadelphia, PA.

Hybrid; expects approx 30% travel locally and regionally.