Branch Compliance 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 an experienced Branch Compliance Manager to join our team in Minneapolis, MN. This role will report to the Chief of Compliance Controls for the Central Complex. The Branch Compliance Manager will assist the Branch Manager with the compliance supervision of the Financial Professionals for the Branch.

This position offers a hybrid work schedule designed to support flexibility while maintaining strong collaboration, connection, and responsiveness. Employees are expected to work on-site 2–3 days per week, based on business and team needs.

What You’ll Be Doing

• Responsible for ensuring suitable sales practices, account documentation, and books and records. Comply with SEC, FINRA and state rules and insurance regulations, including oversight of DOL disclosures and Regulation Best Interest (Reg BI).

• Monitor and maintain various compliance surveillance reports.

• Supervise advertising, correspondence, outside business activities, gifts and entertainment, DBAs. Manage and escalate client complaints.

• Conduct Financial Professionals’ compliance audits, including review of business, sales practices, and inspection of physical locations.

• Support compliance training and development of Branch Financial Professionals.

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

• Partner with Branch Compliance/Controls Manager communities to support system enhancements, testing, and process improvement initiatives as needed.

• Initially, this role requires a full-time, in-office schedule Monday through Friday during business hours to support training, collaboration, day-to-day compliance responsibilities, and a high-quality customer experience. With demonstrated proficiency and consistent performance, the role will transition to a hybrid schedule with an on-site presence of two to three days per week.

The base salary range for this position is $80,000 – $100,000. 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