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Branch Compliance & Controls Manager



Employer:  Equitable
Job Type:  Full Time



At Equitable, our power is in our people.

We're individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential?

The candidate will be located in the Syracuse, Albany, Rochester or Buffalo, New York office location of Northern Complex and report directly to the Chief of Controls for the Complex. This candidate will assist the Branch Managers of The Empire Branch with the supervision of the Financial Professionals for the branch as well as oversight from a Complex level for various functions.
The candidates day-to-day responsibilities will be:

Frontline Supervisor at branch location to ensure the following responsibilities are met:
o Suitability Review - including the review of Replacements and Platform Switches
o Annual Associate Interviews
o Training of new Financial Professionals

Provide Complex coverage of various supervisory tasks including but not limited to:
o Correspondence Review
o Advertising Review
o Gifts & Entertainment Review
o Outside Business Activity Review
o Doing Business As (DBA) Review

Assist the Complex Chief of Controls, as needed, with any projects or task for the Branches within the Complex footprint

The base salary range for this position is $67,000-$97,000. 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.

Equitable Pay and Benefits: Equitable Total Rewards Program

This position is a Hybrid/Flexible role located in Syracuse, Buffalo or Rochester, New York.



Skills required to ensure your success include:

Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.

Audit and Compliance Function: Knowledge of major responsibilities and tasks of Audit and Compliance function and ability to manage the operation of such functions in various business environments.

Business Acumen: Knowledge of business concepts, tools, and processes that are needed for making sound decisions in the context of the company's business; ability to apply this knowledge appropriately to diverse situations.

Communicating Complex Concepts: Knowledge of effective presentation tools and techniques to ensure clear understanding; ability to use summarization and simplification techniques to explain complex technical concepts in simple, clear language appropriate to the audience.

Data Gathering and Analysis: Knowledge of data gathering and analysis tools, techniques and processes; ability to gather and analyze data on the learning needs of a target population.

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 Regulation Compliance: Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities.

Other Qualifications:
  • 5+ years industry/ Compliance experience
  • FINRA Series 7 & 63 Registrations Required.
  • FINRA Series 24, 51 (or 65 & 66) Registrations preferred
  • Ability to make sound business and strategic decisions in partnership and conjunction with other leadership within the branch
  • Exceptional interpersonal and collaboration skills
  • Knowledge of life, annuity and investment products



At Equitable, we're a team of over ten thousand strong; 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 collaboration and teamwork.

We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.

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 TalentAcquisition@equitable.com.
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