Remote Regional Compliance Auditor
Equitable
Annapolis, MD
- Remote job
Equitable is seeking a Regional Controls Manager to lead branch compliance assessments regionally and locally across IL, PA, VA, D.C., MD, NC and SC. The role includes risk-based examinations of NSBOs and non-branch locations, both onsite and remote, with responsibility for workpapers, reports, and remediation validation. The position requires a Bachelor’s degree and FINRA Series 7 & 24 registrations, with 5+ years in financial services, and proficiency in FINRA/SEC regulations and multiple #J-18808-Ljbffr Equitable
Vacancy posted 1 day ago
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