Equitable Advisors Compliance Examiner (HYBRID)
Equitable, Syracuse, NY, United States
Overview
About The Role
At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives - a mission we’ve honed since 1859. This exciting opportunity is with the National Compliance Office Examination Team to conduct Non-Field, Residential Supervisory Location, Supervisory Branch Locations and Non-Branch Location onsite and remote examinations. You will primarily conduct reviews of our non-field locations in Charlotte, New York City and Syracuse and educate registered employees who work in several business areas including Individual Retirement, Group Retirement, Protection Services and Corporate Home Office Broker Dealer/Equitable Advisors as well as our outsourced middle office relationship with LPL.
Join Equitable's Compliance team and enjoy working for a leading financial company with an amazing and diverse culture.
What You'll Be Doing
Reporting to the Team Lead of Compliance and Controls, National Compliance Office, your responsibilities would include:
Assist in conducting Non-Field OSJ Exams and drafting reports with recommendations and enhancements to senior business management
Development and implementation of examination protocols for Equitable Advisors' FINRA registered non-field OSJ locations, service centers, and broker dealer
Ongoing responsibility to update and maintain multiple metric reports communicated to the CCO of Equitable Advisors and Executive Management
Maintaining Equitable Advisors Written Supervisory Procedures
Assist in the review and update of Non-Field OSJ Exam Team Guide and Standard Operating Procedures
Draft and edit precise and well-organized documents such as request lists, examination workpapers, memoranda, and correspondence regarding findings and conclusions
Conduct Residential Supervisory Location, Supervisory Branch Locations and Non-Branch Location assessments
Up to 15% travel is required
Assist with RegEd Vendor Relationship Management and Data Analytic Reporting
Location and Schedule
This position offers a hybrid work schedule, with on-site presence of 2-3 days per week, combining flexibility with team collaboration. The position is based in our Charlotte, NC or Syracuse, NY office.
Compensation and Benefits
The base salary range for this position is $75,000 - $85,000. 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 including 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 Program
What You'll Bring
FINRA Series 7 license or willingness to obtain within 180 days
Bachelor's degree or equivalent
2+ years Compliance experience is preferred
Knowledge of life, annuity, investment advisory products and FINRA/SEC Rules and Regulations
Knowledge of brokerage and advisory operations processing is preferred
Strong Excel, Microsoft Office, and Access knowledge
AI Awareness: basic understanding of AI concepts for learning how AI tools can be used to drive process efficiency and improve examination techniques
Strong analytical, administrative and communication skills with ability to meet internal and external deadlines
Knowledge of data gathering and analysis tools, techniques, and processes; ability to analyze data on learning needs of a target population
Knowledge of risk and control self-assessment (RCSA) and ability to assess, clarify, and appraise significant investment risks while ensuring internal controls, policies, and procedures are accurate and adequate
Knowledge of processes, tools, and techniques for assessing and controlling organizational risk exposure
Knowledge of securities laws and regulations; ability to comply with relevant laws during business activities
Skills
Accuracy and Attention to Detail: understand the value of accuracy and complete tasks with precision
Effective Communication: able to transmit, receive, and interpret ideas, information, and needs effectively
Managing Multiple Priorities: ability to manage multiple objectives, projects, or activities with appropriate prioritization
Problem Solving: ability to recognize, anticipate, and resolve problems with appropriate methods
About Equitable
At Equitable, we’re a team committed to helping clients secure their financial well-being so they can pursue long and fulfilling lives. We believe in leadership, collaboration, and leveraging diverse talents to make a positive impact in communities. We offer growth opportunities, internal mobility, and comprehensive compensation and benefits.
Equitable is an equal employment opportunity employer. Reasonable accommodations are available on request. 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, please contact Human Resources at (212) 314-2211 or email TalentAcquisition@equitable.com.
Locations
Primary Location: UNITED STATES-NC-Charlotte
Other Locations: UNITED STATES-NY-Syracuse
Schedule: Full-time
#J-18808-Ljbffr
About The Role
At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives - a mission we’ve honed since 1859. This exciting opportunity is with the National Compliance Office Examination Team to conduct Non-Field, Residential Supervisory Location, Supervisory Branch Locations and Non-Branch Location onsite and remote examinations. You will primarily conduct reviews of our non-field locations in Charlotte, New York City and Syracuse and educate registered employees who work in several business areas including Individual Retirement, Group Retirement, Protection Services and Corporate Home Office Broker Dealer/Equitable Advisors as well as our outsourced middle office relationship with LPL.
Join Equitable's Compliance team and enjoy working for a leading financial company with an amazing and diverse culture.
What You'll Be Doing
Reporting to the Team Lead of Compliance and Controls, National Compliance Office, your responsibilities would include:
Assist in conducting Non-Field OSJ Exams and drafting reports with recommendations and enhancements to senior business management
Development and implementation of examination protocols for Equitable Advisors' FINRA registered non-field OSJ locations, service centers, and broker dealer
Ongoing responsibility to update and maintain multiple metric reports communicated to the CCO of Equitable Advisors and Executive Management
Maintaining Equitable Advisors Written Supervisory Procedures
Assist in the review and update of Non-Field OSJ Exam Team Guide and Standard Operating Procedures
Draft and edit precise and well-organized documents such as request lists, examination workpapers, memoranda, and correspondence regarding findings and conclusions
Conduct Residential Supervisory Location, Supervisory Branch Locations and Non-Branch Location assessments
Up to 15% travel is required
Assist with RegEd Vendor Relationship Management and Data Analytic Reporting
Location and Schedule
This position offers a hybrid work schedule, with on-site presence of 2-3 days per week, combining flexibility with team collaboration. The position is based in our Charlotte, NC or Syracuse, NY office.
Compensation and Benefits
The base salary range for this position is $75,000 - $85,000. 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 including 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 Program
What You'll Bring
FINRA Series 7 license or willingness to obtain within 180 days
Bachelor's degree or equivalent
2+ years Compliance experience is preferred
Knowledge of life, annuity, investment advisory products and FINRA/SEC Rules and Regulations
Knowledge of brokerage and advisory operations processing is preferred
Strong Excel, Microsoft Office, and Access knowledge
AI Awareness: basic understanding of AI concepts for learning how AI tools can be used to drive process efficiency and improve examination techniques
Strong analytical, administrative and communication skills with ability to meet internal and external deadlines
Knowledge of data gathering and analysis tools, techniques, and processes; ability to analyze data on learning needs of a target population
Knowledge of risk and control self-assessment (RCSA) and ability to assess, clarify, and appraise significant investment risks while ensuring internal controls, policies, and procedures are accurate and adequate
Knowledge of processes, tools, and techniques for assessing and controlling organizational risk exposure
Knowledge of securities laws and regulations; ability to comply with relevant laws during business activities
Skills
Accuracy and Attention to Detail: understand the value of accuracy and complete tasks with precision
Effective Communication: able to transmit, receive, and interpret ideas, information, and needs effectively
Managing Multiple Priorities: ability to manage multiple objectives, projects, or activities with appropriate prioritization
Problem Solving: ability to recognize, anticipate, and resolve problems with appropriate methods
About Equitable
At Equitable, we’re a team committed to helping clients secure their financial well-being so they can pursue long and fulfilling lives. We believe in leadership, collaboration, and leveraging diverse talents to make a positive impact in communities. We offer growth opportunities, internal mobility, and comprehensive compensation and benefits.
Equitable is an equal employment opportunity employer. Reasonable accommodations are available on request. 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, please contact Human Resources at (212) 314-2211 or email TalentAcquisition@equitable.com.
Locations
Primary Location: UNITED STATES-NC-Charlotte
Other Locations: UNITED STATES-NY-Syracuse
Schedule: Full-time
#J-18808-Ljbffr