Branch Compliance Senior Manager; Melville, NY - HYBRID

About the Role

Equitable helps clients secure their financial well‑being so they can pursue long, fulfilling lives. The Branch Compliance Senior Manager will support approximately 700 financial advisors, reporting to the branch’s Chief of Controls.

• Provide compliance support to the Greater New York Complex Controls Chief.
• Review and investigate actions that trigger flags in various review systems.
• Conduct annual financial advisor compliance interviews and audits, including inspection of business practices and registered locations.
• Assist in training and education of financial advisors.
• Prepare for regulatory and internal audits.

• Bachelor's degree OR 10+ years of work experience.
• 6+ years as a compliance professional with experience supervising financial advisor activities.
• Experience and knowledge of insurance, annuities, brokerage/advisory, alternatives, and related products.
• FINRA Series 7 and 66 OR FINRA 63/65.
• FINRA Series 24 registration.

• Ability to work independently with proactive decision‑making skills.
• Successful collaborator with exceptional communication skills.
• Proven success in leading, assessing, quantifying, testing and implementing controls to ensure compliance with internal business process rules and external regulations.

• Accuracy and Attention to Detail – Complete tasks with high precision.
• Audit and Compliance Function – Manage the operation of A&C in a business environment.
• Customer Focus – Align solutions with customer needs and satisfaction.
• Effective Communications – Transmit, receive, and interpret ideas and information accurately.
• Insurance Legal and Regulatory Environment – Comply with federal, state, and local laws in insurance practices.
• Regulatory Environment – Financial Services – Enable compliance with regulations affecting business practices.
• Securities Laws and Regulations (SLR) Compliance – Ensure compliance with relevant securities laws during business activities.

Hybrid work schedule with 2–3 days onsite per week. Base salary range $102,000–$120,000. Compensation includes salary increases, spot bonuses, and short‑term incentive opportunities. Full benefits include medical, dental, vision, 401(k), and paid time off.

Primary Location
:
United States – NY – Melville

Schedule
:
Full‑time

Equitable is committed to providing equal employment opportunities to 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.

Equitable participates in the E‑Verify program.