Branch Controls Manager

Branch Controls Manager

Primary Location: UNITED STATES-NY-Syracuse

Organization: Equitable

Schedule: Full-time

About the Role

At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives- a mission we've honed since 1859. The Branch Controls Manager role contributes to the organization's compliance framework by assisting in the execution, monitoring, and continuous improvement of internal controls and risk management activities. This position supports efforts to ensure adherence to regulatory requirements, corporate policies, and internal standards by partnering with cross-functional teams to identify risks, document processes, and strengthen control environments. In collaboration with leadership, this role leads the organization in assessing, quantifying, testing and implementing controls to ensure compliance with internal business process rules and external regulations. This position offers a hybrid work schedule from our Syracuse, NY office, with an onsite presence of 23 days per week combining flexibility with team collaboration.

What You'll Be Doing

• Conduct daily reviews and approvals of suitability documentation and required paperwork, including oversight of DOL calculations and Regulation Best Interest (Reg BI) compliance
• Review and manage incoming and outgoing client funds and correspondence, ensuring accuracy, timeliness, and adherence to firm standards
• Oversee the review and processing of Outside Business Activities (OBAs), Gifts & Entertainment (G&E), advertising submissions, ADV filings, and DBAs
• Lead annual associate interviews, including comprehensive client file reviews to ensure adherence to firm policies and regulatory requirements
• Perform quarterly analysis of Tactical and Trending reports to identify, assess, and address potential risk patterns or emerging issues
• Support the training and development of branch and complex sales teams, including contributing to the design and delivery of training programs for Financial Professionals
• Partner with BCM communities to support system enhancements, testing, and process improvement initiatives as needed
• Deliver presentations to branch employees and Financial Professionals on firm policy updates, key reminders, and compliance expectations
• Manage and escalate client complaints through submission to the firm's Client Relations Office, ensuring proper documentation and resolution tracking
• Provide ongoing guidance and direction to branch staff and Financial Professionals to support compliance, operational effectiveness, and best practices

The base salary range for this position is $75,000 - $105,000. 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.

What You Will Bring

Required Qualifications

• Bachelor's degree or equivalent professional work experience
• 2+ years of experience in a compliance-related or compliance-supporting role within financial services or insurance industry
• Active FINRA SIE and/or Series 7 registrations upon hire
• FINRA Series 24 registration upon hire or the ability to obtain within 120 days of hire
• Working knowledge of life insurance, annuities, and investment/advisory products

Preferred Qualifications

• FINRA Series 65 or 51 registration a plus
• Foundational knowledge of internal controls, risk management, and compliance frameworks (e.g., SOX, COSO, or internal audit standards)
• Strong analytical and problem-solving skills, with the ability to interpret data, identify trends, and support risk-based decision-making
• Strong communication skills with the ability to engage and influence stakeholders at all levels of the organization
• Exceptional attention to detail and organizational skills to manage documentation, testing activities, and audit support with precision
• Effective communication and collaboration skills, with a proven ability to partner cross-functionally and clearly translate complex compliance concepts
• Ability to manage multiple priorities in a fast-paced, deadline-driven environment while maintaining high standards of quality and compliance
• A proactive, growth-oriented mindset with a commitment to continuous learning, process improvement, and staying current on regulatory changes and industry best practices

Skills

• Accuracy and Attention to Detail
• Audit and Compliance Function
• Business Acumen
• Coaching Others
• Insurance Legal and Regulatory Environment
• Regulatory Environment - Financial Services
• Risk Assessment
• Risk Management

About Equitable

At Equitable, we're a team 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.