Compliance and Controls Lead Associate; HYBRID

Primary Location

UNITED STATES-NC-Charlotte

Equitable

Full-time

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.

The Compliance & Controls Lead Associate plays a key role in supporting operational teams by helping ensure compliance with regulatory, audit, and internal control requirements. This position partners closely with operations, auditors, and examiners to coordinate documentation, facilitate walkthroughs, and support audit responses from planning through remediation. This role also provides guidance and support to team members and serves as a trusted resource across products, processes, and systems.

• Support operational areas by identifying audit and regulatory requirements and coordinating compliance activities
• Gather, prepare, and organize documentation across multiple teams
• Facilitate walkthroughs and communicate effectively with auditors and examiners
• Coordinate audit activities from scoping and planning through remediation
• Track responses, remediation efforts, and management sign-offs
• Adjust priorities and workflows to meet evolving business needs
• Coach, develop, and support team members, fostering collaboration and shared success
• Independently address complex or sensitive issues with appropriate guidance and escalation when needed

This position offers a hybrid work schedule, with an on‑site presence of 2–3 days per week combining flexibility with team collaboration.

The base salary range for this position is $50,000 – $65,000. 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.

• Bachelor’s degree preferred, but not required
• Approximately 1+ years of experience in a fast‑paced financial services or regulated environment preferred
• Ability to quickly learn product features, systems, and transaction processes
• Ability to create or update procedures and documentation as needed
• Extremely self‑motivated and eager to learn.

• Business Analytics – Knowledge of technologies, techniques and practices for evaluating business performance data; ability to analyze business performance using advanced statistical methods to predict trends and provide forecasts that drive business decisions and business planning.
• Data Gathering and Reporting – Knowledge of tools, techniques and processes for gathering and reporting data; ability to practice them in a particular department or division of a company.
• Data Integrity – Knowledge of objectives, terminologies, and approaches of data integrity; ability to ensure the accuracy and consistency of data in various business environments.
• Document Management – Knowledge of document management; ability to categorize, integrate, update, document and distribute business information in a secure, effective way.
• Effective Communications – Understanding of effective communication concepts, tools and techniques; ability to effectively transmit, receive, and accurately interpret ideas, information, and needs through the application of appropriate communication behaviors.
• Internal Controls – Knowledge of concepts, methods, and processes of internal control; ability to create, implement, evaluate and enhance processes in internal controls.
• Managing Multiple Priorities – Knowledge of effective self‑management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, making effective judgments as to prioritizing and time allocation.
• Process Mapping/Flowcharting – Knowledge of the concepts of process mapping; ability to carry out the documentation of current and proposed manufacturing…