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About the Role

The Branch Controls Manager role contributes to Equitable'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.

Responsibilities

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.
Partner with BCM communities to support system enhancements, testing, and process improvement initiatives as needed.
Deliver presentations to branch employees and Financial Professionals on firm policy updates, key reminders, and compliance expectations.
Manage and escalate client complaints through submission to the firm’s Client Relations Office, ensuring proper documentation and resolution tracking.
Provide ongoing guidance and direction to branch staff and Financial Professionals to support compliance, operational effectiveness, and best practices.

Requirements

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 24 registration upon hire or the ability to obtain within 120 days of hire.
Working knowledge of life insurance, annuities, and investment/advisory products.
FINRA Series 65 or 51 registration a plus.
Foundational knowledge of internal controls, risk management, and compliance frameworks (e.g., SOX, COSO, or internal audit standards).
Strong analytical and problem-solving skills, with the ability to interpret data, identify trends, and support risk-based decision-making.
Strong communication skills with the ability to engage and influence stakeholders at all levels of the organization.
Exceptional attention to detail and organizational skills to manage documentation, testing activities, and audit support with precision.
Effective communication and collaboration skills, with a proven ability to partner cross-functionally and clearly translate complex compliance concepts.
Ability to manage multiple priorities in a fast-paced, deadline-driven environment while maintaining high standards of quality and compliance.
A proactive, growth-oriented mindset with a commitment to continuous learning, process improvement, and staying current on regulatory changes and industry best practices.
Demonstrated ability to make sound business decisions while collaborating effectively with branch leadership.

Skills

Accuracy and Attention to Detail
Audit and Compliance Function
Business Acumen
Coaching Others
Insurance Legal and Regulatory Environment
Regulatory Environment - Financial Services
Risk Assessment
Risk Management

Location

Syracuse, NY

Work Type

Hybrid

Experience Level

2+ years of experience

Education Level

Bachelor’s degree or equivalent professional work experience

Salary/Compensations

$75,000 - $80,000

Benefits

Medical
Dental
Vision
401(k) plan
Paid time off

About the Company

At Equitable, we're a team 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. Click Careers at Equitable to learn more.

Equal Opportunity

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.