Hiring: Branch Compliance Senior Manager (HYBRID) Company: Equitable Location: Melville, NY Job Posted Time: 2026-09-10 19:51:15 Employment Type: Hybrid Target Skills & Keywords : C, Chef, Compliance, Flink, HBase, Plaid, TestNG About the job Experience: •10+ years of work experience •6+ years of experience working as a compliance professional with experience in supervising Financial Advisor activities Required Skills: •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 •What You Will Bring Qualifications: •Bachelors degree OR 10+ years of work experience •6+ years of experience working as a compliance professional with experience in supervising Financial Advisor activities •Experience and knowledge of Insurance, Annuities, Brokerage/Advisory, Alternatives, etc. products •FINRA Series 7 and 66 OR FINRA 63/65 •FINRA Series 24 registration •Preferred Qualifications: •Ability to function independently with proactive decision-making skills •Successful collaborator with exceptional communication skills •Proven success in leading, assessing, quantifying, testing and implementing controls to ensure compliance with internal business process rules and external regulations for an organization Compensation: •$102,000 - $120,000 Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!