Branch Controls Manager

Company: Equitable
Location: Albany
Posted on: October 15, 2020

Job Description:

Thank you for your interest in a position with Equitable.

• Guides Branch Sales Manager for all compliance-related functions and issues.

• Effectuates and maintains branch office books & records requirement.

• Manages all required record retention. Ensures education and tracking of financial advisors and other supervisors by coordinating annual compliance meetings, required Firm courses and regulatory requirements.

• Conducts regulatory-required annual financial advisor compliance interviews/audits, including inspection of business practices and business physical location.

Minimum Qualifications: • 3+ years of experience as a compliance professional. • Branch Controls - Series 7, 24, 63 (or willing to obtain 24, 65 or 66 and 53 within 6 months)

Preferred Qualifications: • Able to resolve conflicts and problems independently • Strong leadership skills • Ability to function independently as well as in a team atmosphere • Proactive decision-making skills Strong ability to collaborate Strong communication skills • Basic understanding of the organization's financial performance

About Equitable

We have been providing stability and reliability to our clients since 1859 to help them live their lives with confidence, to give them peace of mind, and enable them to realize their dreams for their loved ones and their legacy.

As an employer, Equitable is committed to creating an environment where everyone feels completely comfortable bringing their true selves to work every day. Equitable has been recognized and certified as a great place to work by the Great Place to Work Institute.

We provide our employees opportunities to move within our organization so they can grow their career and skills without ever having to leave Equitable. Almost 40% of our open jobs are filled with current employees.

In addition to competitive compensation and an outstanding benefits package including 401(k) and medical programs, we offer the opportunity for continued professional development in a congenial corporate environment.

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: Equitable participates in the E-Verify program.

If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-6368 or email us at TalentAcquisition@equitable.com.

#LI-EQH1

Keywords: Equitable, Albany , Branch Controls Manager, Other , Albany, New York