Equitable Advisors Compliance and Controls Examiner (Remote Possible)

Description
At Equitable, our power is in our people.

We're individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential?

At Equitable we have reimagined how we want to work and are guided by principles of inclusivity, flexibility, and connection. Come join Equitable's Compliance team and enjoy working for a leading financial company with an amazing and diverse culture! We offer a flexible hybrid office/remote work environment, and this position is based in our Charlotte, NC, Syracuse, NY office or can be remote.

Love Compliance? This exciting opportunity would have you join our Non - Field OSJ Exam Team as an Equitable Advisors Compliance Controls Examiner as they perform annual on-site and remote examinations of our non - field locations in Charlotte, New York City and Syracuse. You will examine and educate registered employees who work in Individual Retirement, Group Retirement, Protection Services and Corporate Home Office Broker Dealer/ Equitable Advisors outsourcing and middle office relationship with LPL. If you are ready for this exciting challenge, click on the link to apply!

Reporting to the Team Lead of Compliance and Controls, National Compliance Office, your responsibilities include:

• Up to 15% travel is required.
• Assist in conducting Non- Field OSJ Exams and drafting reports with recommendations and enhancements to senior business management
• Assist in the development and implementation of examination protocols for Equitable Advisors' FINRA registered non field OSJ locations, service centers, and broker dealer
• Assist in the management and review of the Non - Field OSJ Exam database
• Assist in the review and follow up on all outstanding corrective action items referenced in exam reports
• Ongoing responsibility to update and maintain multiple metric reports communicated to the CCO of Equitable Advisors and Executive Management
• Assist in maintaining Equitable Advisors Written Supervisory Procedures
• Assist in the review and update of Non - Field OSJ Exam Team Guide and Standard Operating Procedures
• Provide timely, accurate and professional support to National Compliance Office on FINRA, SEC and State examinations
• Draft and edit precise and well-organized documents such as request lists, examination workpapers, memoranda, and correspondence regarding findings and conclusions
• Provide timely, accurate and professional support to National Compliance Office on FINRA, SEC and State examinations
• Management of Expense Reporting
• Cross Training with Field Exam Program Examiners

The base salary range for this position is $45,000 - $66,000 . 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

Qualifications

• FINRA Series 7 license or have a willingness to obtain within 180 days preferred
• A bachelor's degree and 1 + years of Compliance experience is preferred
• Knowledge of life, annuity, investment advisory products and FINRA/SEC Rules and Regulations
• Knowledge of brokerage and advisory operations processing is preferred
• Must have strong Excel, Microsoft Office, and Access knowledge
• Works effectively with management, regulators

Skills

Accuracy and Attention to Detail: Understand the necessity and value of accuracy; ability to complete tasks with high-level of precision.

Business Acumen: Knowledge of business concepts, tools, and processes that are needed for making sound decisions in the context of the company's business; ability to apply this knowledge appropriately to diverse situations.

Communicating Complex Concepts: Knowledge of effective presentation tools and techniques to ensure clear understanding; ability to use summarization and simplification techniques to explain complex technical concepts in simple, clear language appropriate to the audience

Customer Focus: Knowledge of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and ability to leverage that information in creating customized customer solutions.

Data Gathering and Analysis: Knowledge of data gathering and analysis tools, techniques, and processes; ability to gather and analyze data on the learning needs of a target population.

Document Management: Knowledge of document management; ability to categorize, integrate, update, distribute information securely.

Effective Communication: Understand effective communication concepts, tools and techniques; ability to effectively transmit, receive, and accurately interpret ideas, information, and needs through the application of appropriate communication behaviors.

Influencing: Knowledge of effective influencing tactics and strategies; ability to impact decisions within and outside own organization.

Managing Multiple Priorities: Knowledge of effective self-management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, making effective judgments as to prioritizing and time allocation.

Problem Solving: Knowledge of approaches, tools, techniques for recognizing, anticipating, and resolving organizational, operational or process problems; ability to apply knowledge of problem solving appropriately to diverse situations.

Risk & Control Self Assessment: Knowledge of risk and control self-assessment (RCSA); ability to assess, clarify, and appraise significant risks inherent in investment activities as well as to ensure that internal controls, policies, and procedures are accurate and adequate.

Risk Management: Knowledge of processes, tools and techniques for assessing and controlling an organization's exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.

Securities Laws and Regulations Compliance: Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities.

Self-Starter and Team Collaboration: Ability to successfully work alone and to maintain a team player attitude.

Diversity, Equity and Inclusion: Demonstrate a commitment to diversity, equity and inclusion by treating everyone with respect and dignity, ensuring all voices are heard and advocating for change.

ABOUT EQUITABLE

At Equitable, we’re a team of over ten thousand strong; committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.

We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities.

We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork.

We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.

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Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.

NOTE: Equitable participates in the E-Verify program.

If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us at TalentAcquisition@equitable.com.