Branch Controls Supervisor (Onsite) ( 240000MA )

Primary Location : UNITED STATES-MN-Minneapolis

Organization : Equitable

Schedule : Full-time

Description

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 Minneapolis Branch location is seeking an experienced Compliance Supervisor, this position is required to be onsite.

Job Responsibilities:

Provide Branch compliance supervision, including but not limited to:

• Responsible for ensuring sales practices, account documentation, and books and records comply with SEC, FINRA and state rules and insurance regulations.

• Monitor and maintain various compliance surveillance reports.

• Supervise advertising, correspondence, outside business and DBA activities.

• Conduct Financial Professionals’ compliance audits, including review of business practices and inspection of physical locations

• Ongoing Financial Professional compliance training.

The base salary range for this position is $75,000-$100,000. 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 (https://portal.equitable.com/appentry/EDoxRedirect?node_id=A2023013000001)

#LI-ANCHOR

Qualifications

Required Experience:

• Bachelors degree

• 1 Years experience in Compliance roles

• FINRA Series 7, 65 or 66 registrations

• FINRA Series 24 or must obtain within 60 days of hire date

• Knowledge of Life, Annuity and Investment/ Advisory ProductsLI-E

Preferred Qualifications :

• FINRA Series 51 preferred

• Ability to make sound business and strategic decisions in partnership and conjunction with other leadership within the branch

• Excellent communications skills and demonstrated ability to interact effectively with all levels

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.

Diversity, Equity and Inclusion: Demonstrates a commitment to Diversity, Equity and Inclusion by treating everyone with respect and dignity, ensuring all voices are heard and advocating for change

ABOUT EQUITABLE

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 .

Req ID: 240000MA