Branch Compliance Senior Manager

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.

Equitable is looking for a dynamic Branch Compliance Senior Manager to join our Branch Compliance team! Our Greater NY-CT Complex is seeking a highly- motivated Compliance professional with the ability to work independently to join our team. This is a vital role supporting ~700 Financial Advisors that reports up to the branch’s Chief of Controls.

What You’ll Be Doing

• Provide compliance support to Complex Controls Chief for the Greater New York Complex
• Review and investigate actions that trigger flags in various review systems
• Conduct annual financial advisor compliance interviews/audits, including inspection of business practices and registered location
• Assist in training, education of financial advisors
• Prepare for regulatory and internal audits

This position offers a hybrid work schedule, with an on–site presence of 2–3 days per week combining flexibility with team collaboration.

The base salary range for this position is $102,000 - $120,000. 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: Equitable Total Rewards Program