Sr. Regional Compliance Analyst; HYBRID

Position: Sr. Regional Compliance Analyst (HYBRID)
About the Role

At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives- a mission we've honed since 1859.

This role is responsible for providing compliance support to Equitable' s branch locations both regionally and locally. This role is an individual contributor role reporting to the Lead Regional Controls Manager / Central Supervision Unit.

The selected candidate would report to an Equitable' s Location under Hybrid work arrangement with the expectation of approximately 30% required travel both locally and regionally.

What You'll Be Doing

* Involves conducting announced and unannounced inspections & interviews of Equitable' s Advisors Financial Professionals, business practices, including on-site examination of registered & Non registered office locations to determine compliance with industry regulations and the applicable 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 recommendations for resolution.

* Schedule assigned examinations and make own travel arrangements via Concur app (appx 30% travel required, when travel resumes to normal)

* 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/modules efficiency.

The base salary range for this position is $85,000 - $90,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.

For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below.

Equitable

Pay and Benefits:

Equitable Total Rewards Program

What You Will Bring

* FINRA Series 7 & 24 registrations required

* 5-10 years' experience in the financial services industry.

* Experience / knowledgeable of Wealth Management products Life Ins / Annuities / Broker Dealer.

* Self-Starter, Strong organizational, analytical, investigative / 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 various electronic systems and have a strong proficiency.

Preferred Qualifications

* Additional FINRA Registrations Preferred: 66 or 65/63.

* Bachelor's Degree or equivalent work experience preferred.

* Prior auditing experience preferred.

Skills

Audit and Compliance Function:
Knowledge of major responsibilities and tasks of Audit and Compliance (A&C) function, ability to manage the operation of A&C function in various business environments.

Insurance Legal and Regulatory Environment:
Knowledge of federal, state and local laws and regulations; ability to comply with these laws and regulations in insurance industry practices and activities.

Risk Assessment:
Knowledge of methods and techniques used to identify actual and potential hazards or loss exposures; ability to evaluate the risks according to processes and guidelines.

Risk Management:

Knowledge of processes, tools and techniques for assessing and controlling an organization's exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.

Securities Laws and Regulations (SLR) Compliance:
Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities.

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About Equitable

At Equitable, we're a team 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…