Branch Controls Manager

Branch Controls ManagerPrimary Location: UNITED STATES-NY-SyracuseOther Locations: UNITED STATES-NY-BUFFALO, UNITED STATES-NY-ALBANYOrganization: EquitableSchedule: Full-timeAbout the RoleAt 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 either our Albany, NY; Buffalo, NY or Syracuse, NY office, with an on–site presence of 2–3 days per week combining flexibility with team collaboration.What You'll Be DoingConduct daily reviews and approvals of suitability documentation and required paperwork, including oversight of DOL calculations and Regulation Best Interest (Reg BI) complianceReview and manage incoming and outgoing client funds and correspondence, ensuring accuracy, timeliness, and adherence to firm standardsOversee the review and processing of Outside Business Activities (OBAs), Gifts & Entertainment (G&E), advertising submissions, ADV filings, and DBAsLead annual associate interviews, including comprehensive client file reviews to ensure adherence to firm policies and regulatory requirementsPerform quarterly analysis of Tactical and Trending reports to identify, assess, and address potential risk patterns or emerging issuesSupport the training and development of branch and complex sales teams, including contributing to the design and delivery of training programs for Financial ProfessionalsPartner with BCM communities to support system enhancements, testing, and process improvement initiatives as neededDeliver presentations to branch employees and Financial Professionals on firm policy updates, key reminders, and compliance expectationsManage and escalate client complaints through submission to the firm's Client Relations Office, ensuring proper documentation and resolution trackingProvide ongoing guidance and direction to branch staff and Financial Professionals to support compliance, operational effectiveness, and best practicesThe 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.Equitable Pay and Benefits: Equitable Total Rewards ProgramWhat You Will BringRequired QualificationsBachelor's degree or equivalent professional work experience2+ years of experience in a compliance-related or compliance-supporting role within financial services or insurance industryActive FINRA SIE and/or Series 7 registrations upon hireFINRA Series 24 registration upon hire or the ability to obtain within 120 days of hireWorking knowledge of life insurance, annuities, and investment/advisory productsPreferred QualificationsFINRA Series 65 or 51 registration a plusFoundational 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-makingStrong communication skills with the ability to engage and influence stakeholders at all levels of the organizationExceptional attention to detail and organizational skills to manage documentation, testing activities, and audit support with precisionEffective communication and collaboration skills, with a proven ability to partner cross-functionally and clearly translate complex compliance conceptsAbility to manage multiple priorities in a fast-paced, deadline-driven environment while maintaining high standards of quality and complianceA proactive, growth-oriented mindset with a commitment to continuous learning, process improvement, and staying current on regulatory changes and industry best practicesDemonstrated ability to make sound business decisions while collaborating effectively with branch leadershipSkillsAccuracy 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 company's 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 organization's exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.About EquitableAt 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.