The Connecticut Group
The Connecticut Group is a financial planning firm that provides advisory, accounting, insurance & business counseling services.
- Open roles
- 408
Company signals
Score: 57Job facts
- Location
- Hybrid · York, Pennsylvania, United States of America
- Also in
- Melville, New York, United States of America
- Workplace
- Hybrid
- Salary
- $102K – $120K
Last verified live 2 weeks, 2 days ago · checked directly on the company's Oracle Taleo
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Branch Compliance Senior Manager
at The Connecticut Group
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