Branch Controls 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.

The Branch Controls Manager role contributes to the organization’s compliance framework by assisting in the execution, monitoring, and continuous improvement of internal controls and risk management activities. This position supports efforts to ensure adherence to regulatory requirements, corporate policies, and internal standards by partnering with cross-functional teams to identify risks, document processes, and strengthen control environments.

In collaboration with leadership, this role leads the organization in assessing, quantifying, testing and implementing controls to ensure compliance with internal business process rules and external regulations.

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

What You’ll Be Doing

• Conduct daily reviews and approvals of suitability documentation and required paperwork, including oversight of DOL calculations and Regulation Best Interest (Reg BI) compliance

• Review and manage incoming and outgoing client funds and correspondence, ensuring accuracy, timeliness, and adherence to firm standards

• Oversee the review and processing of Outside Business Activities (OBAs), Gifts & Entertainment (G&E), advertising submissions, ADV filings, and DBAs

• Lead annual associate interviews, including comprehensive client file reviews to ensure adherence to firm policies and regulatory requirements

• Perform quarterly analysis of Tactical and Trending reports to identify, assess, and address potential risk patterns or emerging issues

• Support the training and development of branch and complex sales teams, including contributing to the design and delivery of training programs for Financial Professionals

• Partner with BCM communities to support system enhancements, testing, and process improvement initiatives as needed

• Deliver presentations to branch employees and Financial Professionals on firm policy updates, key reminders, and compliance expectations

• Manage and escalate client complaints through submission to the firm’s Client Relations Office, ensuring proper documentation and resolution tracking

• Provide ongoing guidance and direction to branch staff and Financial Professionals to support compliance, operational effectiveness, and best practices

The base salary range for this position is $75,000 - $105,000. 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