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