Remote Regional Compliance Lead - FINRA/SEC Audits
Equitable
Raleigh, NC
- Remote job
Equitable is seeking a Regional Controls Manager to lead regulatory examinations across branch locations, remote work setup with up to 30% travel. You will assess, test, and implement controls to meet FINRA, SEC and firm requirements. The role requires 5+ years in financial services, FINRA Series 7/24, and deep knowledge of life insurance, annuities, and broker-dealer products. Proficiency with compliance platforms and MS Office is essential. #J-18808-Ljbffr Equitable
Vacancy posted 2 days ago
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