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

This role requires full-time, in-office presence Monday through Friday , aligning with core hours (8:00 AM–5:00 PM CST) to ensure consistent, real-time compliance support and a high-quality customer experience.

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 BCM communities to support system enhancements, testing, and process improvement initiatives as needed.

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