Hiring: Branch Controls Manager Company: Equitable Location: Buffalo, NY Job Posted Time: 2026-09-09 19:51:15 Employment Type: Hybrid Target Skills & Keywords : Compliance, Flink, HBase, Plaid, TestNG About the job Experience: •2+ years of experience in a compliance-related or compliance-supporting role within financial services or insurance industry 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. •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 •work schedule from either our •Albany, NY; Buffalo, NY or 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 Qualifications: •What You Will Bring •Bachelor’s degree or equivalent professional work experience •2+ years of experience in a compliance-related or compliance-supporting role within financial services or insurance industry •Active FINRA SIE and/or Series 7 registrations upon hire •FINRA Series Compensation: •$75,000 - $105,000 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!