Branch Controls Manager

About the Role

At Equitable we help clients secure their financial well-being so they can pursue long and fulfilling lives- a missionwevehoned since 1859.

The Branch Controls Manager role contributes to the organizations 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 either our Albany NY; Buffalo NY or Syracuse NY office with an onsitepresence of 23 days per week combining flexibility with team collaboration.

What Youll 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 firms 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 $75000 - $105000 . Actual base salaries vary based on skills experience and geographical 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 onleveland functional area of responsibility.

For eligible employees Equitableprovidesa full range of benefits. This includes medical dental vision a 401(k) plan and paid time off. For detailed descriptions of these benefits pleasereferencethe link below.

Equitable Pay and Benefits : Equitable Total Rewards Program

What You Will Bring

Required Qualifications

• Bachelors 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

• Demonstrated ability to make sound business decisions while collaborating effectively with branch leadership

Skills

Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.

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 functions in various business environments.

Business Acumen: Knowledge of business concepts tools and processes that are needed for making sound decisions in the context of the companys business; ability to apply this knowledge appropriately to diverse situations.

Coaching Others: Knowledge of coaching and mentoring concepts and methods; ability to encourage motivate and guide individuals in learning and improving effectiveness.

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.

Regulatory Environment - Financial Services: Knowledge of regulatory environment; ability to help an organization comply with regulations at the federal state and local level and follow the organization-specific policies and guidelines affecting business practices.

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 organizations exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.

About Equitable

At Equitablewerea 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 toleveragetheir 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 Careers at Equitable to learn more.

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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: Equitableparticipatesin the E-Verify program.

If reasonable accommodation is needed toparticipatein the job application or interview process or to perform the essential job functions of this position please contact Human Resources at or email us at .

Required Experience:

Manager