Remote Regional Compliance Lead – FINRA/SEC Audits
Remote / Online - Candidates ideally in
Wilmington, New Hanover County, North Carolina, 28412, USA
Listed on 2026-08-28
Wilmington, New Hanover County, North Carolina, 28412, USA
Listing for:
Equitable
Remote/Work from Home
position Listed on 2026-08-28
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
Equitable is seeking a Regional Controls Manager to lead regulatory examinations across branch locations, remote work setup with up to 30% travel. You will assess, test, and implement controls to meet FINRA, SEC and firm requirements.
The role requires 5+ years in financial services, FINRA Series 7/24, and deep knowledge of life insurance, annuities, and broker-dealer products. Proficiency with compliance platforms and MS Office is essential.
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