What are the responsibilities and job description for the Branch Compliance Manager position at Equitable?
Description
At Equitable, our power is in our people.
We're individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential?
Job Responsibilities :
Provide Branch compliance supervision, including but not limited to :
- Responsible for ensuring sales practices, account documentation, and books and records comply with SEC, FINRA and state rules and insurance regulations.
- Monitor and maintain various compliance surveillance reports.
- Supervise advertising, correspondence, outside business and DBA activities.
- Conduct Financial Professionals’ compliance audits, including review of business practices and inspection of physical locations
- Ongoing Financial Professional compliance training.
The base salary range for this position is $75,000-$110,000. 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 :
Qualifications
Salary : $75,000 - $110,000
