Equitable · 12 hours ago
Branch Compliance Senior Manager NY, NY (HYBRID)
New York, NY
Full-time
Hybrid
Mid, Senior Level
$102K/yr - $120K/yrEquitable is a company dedicated to helping clients secure their financial well-being. They are seeking a Branch Compliance Senior Manager to provide compliance support, conduct audits, and assist in training financial advisors within the Greater New York Complex.
BankingConsultingFinancial Services
Responsibilities
Provide compliance support to Complex Controls Chief for the Greater New York Complex
Review and investigate actions that trigger flags in various review systems
Conduct annual financial advisor compliance interviews/audits, including inspection of business practices and registered location
Assist in training, education of financial advisors
Prepare for regulatory and internal audits
Qualification
Required
Bachelors degree or equivalent professional work experience
Compliance professional with experience in supervising Financial Advisor activities
Experience and knowledge of Insurance, Annuities, Brokerage/Advisory, Alternatives, etc. products
FINRA Series 7 and 66 upon hire
FINRA Series 24 registration upon hire or ability to obtain within 90 days of employment
Preferred
Ability to function independently with proactive decision-making skills
Successful collaborator with exceptional communication skills
Proven success in leading, assessing, quantifying, testing and implementing controls to ensure compliance with internal business process rules and external regulations for an organization
Benefits
Medical
Dental
Vision
A 401(k) plan
Paid time off
Company
Equitable
Equitable provides consulting services to secure the financial well-being and retirement strategies for individuals and families.
Founded in 1859
5001-10000 employees
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)
Funding
Current Stage
Late StageLeadership Team
Mark Pearson
CEO and President
Vincent Xuan
Head of Life Insurance & CEO of Equitable Financial Bermuda Re
Recent News
MarketScreener
2025-11-04
2025-10-27
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