Sr. Regional Compliance Manager

Job Title

Senior Compliance Manager – Investigator and Audit

At Equitable, our strength comes from diverse people who bring unique perspectives to our mission of securing financial well‑being for clients. This role provides compliance support to branch locations regionally and locally, ensuring adherence to regulatory requirements and internal policies. The position reports to the Lead Regional Controls Manager / Central Supervision Unit.

• Conduct announced and unannounced inspections and interviews of Advisors, Financial Professionals, and business practices.
• Perform on‑site examinations of registered and non‑registered office locations to evaluate compliance with industry regulations and firm policies.
• Collect and review data as part of pre‑work audit processes.
• Advise and educate Advisors 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 travel via Concur (approximately 30% travel).
• Perform Social Media review of Financial Professionals’ content electronically via Proofpoint Patrol.
• Provide regional compliance support to branch locations with staffing or compliance challenges.
• Mock audit branch compliance requirements to improve branch exam results.
• Assist with suitability review and Adhoc compliance reporting projects.
• Recommend process improvements to enhance modules and 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, or Broker‑Dealer.
• Self‑starter with strong organizational, analytical, investigative, and auditing skills.
• Ability to manage multiple priorities, meet deadlines, and work across various teams.
• Strong written, oral, and interpersonal skills.
• Ability to present in group or individual settings and explain policies and regulations to others.
• High degree of professional maturity, integrity, and a personable approach.
• Proficiency in electronic systems and strong technical skills.

• Additional FINRA registrations preferred (Series 66, 65/63).
• Bachelor’s degree or equivalent work experience preferred.
• Prior auditing experience preferred.

Base salary range: $85,000 – $90,000 (actual salary varies based on skills, experience, and location).

Equitable provides performance‑based compensation with base salary increases, spot bonuses, and short‑term incentive opportunities. Eligibility depends on level and functional area.

Benefits include medical, dental, vision, 401(k) plan, paid time off, and other benefits. For detailed descriptions, see the link below.

• Seniority level:
  Mid‑Senior
• Employment type:
  
  Full‑time
• Job function:
  Compliance / Audit (Legal)
• Primary location:
  Jersey City, NJ

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 (212) 314‑2211 or email us at TA