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The Connecticut Group

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www.theconnecticutgroup.com

The Connecticut Group is a financial planning firm that provides advisory, accounting, insurance & business counseling services.

Open roles
391

Company signals

Score: 57
Missing required salary 98% Stale listings 0% New cities (90d) 80 Buzzword-heavy listings 2% Wide pay-band rate 0% Growth-mode language 0% SEC Form D filed never Wikipedia No

Job 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 11 hours, 12 minutes 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