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Equitable · 5 hours ago

Sr. Regional Compliance Manager

Jersey City, NJ

Full-time

Hybrid

Mid, Senior Level

$85K/yr - $90K/yr

5+ years exp

Equitable is a company committed to helping clients secure their financial well-being. The Sr. Regional Compliance Manager is responsible for providing compliance support to branch locations, conducting inspections, advising financial professionals, and addressing compliance issues.

BankingConsultingFinancial Services

H1B Sponsor Likely

Responsibilities

Involves conducting announced and unannounced inspections & interviews of Equitable’ s Advisors Financial Professionals, business practices, including on-site examination of registered & Non registered office locations to determine compliance with industry regulations and the applicable firm policies and procedures

Collect and review data as part of pre-work audit process

Advise and educate Equitable’ s Advisors Financial Professionals on firm policies and procedures

Assist branch compliance personnel with identifying and addressing compliance issues

Provide timely reports that identify audit findings and recommendations for resolution

Schedule assigned examinations and make own travel arrangements via Concur app (appx 30% travel required, when travel resumes to normal)

Social Media Review of Financial Professionals content electronically via Proofpoint Patrol

Provide Regional compliance support to branch locations incurring branch compliance and or staffing challenges

Mock Auditing of branch compliance requirements to improve branch exam results

Adhoc compliance reporting projects, Assist with suitability review

Recommend process improvements to enhance process/modules efficiency

Qualification

FINRA Series 7 & 24AuditCompliance FunctionSecurities LawsRegulationsWealth Management productsRisk ManagementRisk AssessmentAnalytical skillsProfessional maturityOrganizational skillsInterpersonal skillsWritten communicationOral communicationSelf-Starter

Required

FINRA Series 7 & 24 registrations required

5-10 years' experience in the financial services industry

Experience / knowledgeable of Wealth Management products Life Ins / Annuities / Broker Dealer

Self-Starter, Strong organizational, analytical, investigative / auditing skills

Ability to manage multiple priorities for various teams and meet deadlines

Strong written, oral, and interpersonal skills

Ability to present in a group or individual environment, explain policies and regulations to others

High degree of professional maturity, integrity, ability to deliver a professional and personable approach

Strong ability to learn various electronic systems and have a strong proficiency

Preferred

Additional FINRA Registrations Preferred: 66 or 65/63

Bachelor's Degree or equivalent work experience preferred

Prior auditing experience preferred

Benefits

Medical

Dental

Vision

A 401(k) plan

Paid time off

Company

Equitable

Glassdoor3.6

Equitable provides consulting services to secure the financial well-being and retirement strategies for individuals and families.

Founded in 1859

New York, New York, USA

5001-10000 employees

https://equitable.com/

H1B Sponsorship

Equitable has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (31)

2024 (18)

2023 (26)

2022 (37)

2021 (20)

2020 (12)