Branch Controls Manager - Syracuse, United States - Equitable Services

Equitable Services Syracuse, United States

3 weeks ago

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?Equitable is looking for a Branch Controls Manager to support our Empire Branch.

The position will be located in one of the following offices of The Empire Branch:

Syracuse, NY, Rochester NY, Albany, NY or Buffalo NY with a Hybrid work schedule of minimum 2 days in the closest branch office and 3 days working remotely.

The Branch Controls Manager will report to the Chief of Controls for the Complex and assist the Branch Managers of The Empire Branch with the supervision of the Branch Financial Professionals as well as oversight from a Complex level for various functions.

Key Job Responsibilities Frontline Supervisor at registered branch location including but are not limited to the following responsibilities:

Suitability Review - including the review of Replacements and Platform SwitchesAnnual Associate InterviewsTraining of new Financial ProfessionalsEnhanced Supervision of Branch FPs, as neededWork with National Compliance Office - for any FINRA Inquiries or ArbitrationDotted line to Branch EVP to ensure FP adherence to all firm compliance policiesLead and mentor Branch BCMsAdminister Performance Reviews for Branch BCMs/direct reportsAssist the Complex Chief of Controls, as needed, with any projects or task for the Branches within the Complex footprintThe base salary range for this position is $87,000 - $110,000.

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 ProgramQualificationsRequired Qualifications5+ years industry / Compliance experienceFINRA Registrations Series 7, 63, 53, 65/66 and 24Preferred QualificationsAble to resolve conflicts and problems independentlyStrong leadership skillsAbility to function independently with proactive decision-making skills Strong ability to collaborate and strong communication skillsBasic understanding of the organization's financial performanceSkillsAccuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision

Audit and Compliance Function:
Knowledge of major responsibilities and tasks of Audit and Compliance (A&C) function; ability to manage the operation of A&C function in various business environment

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

Knowledge of Product Line:
Knowledge of methodologies, tools and techniques for specific products; ability to develop product line processes and strategies

Regulatory Environment - Financial Services:
Knowledge of regulatory environment; ability to help an organization comply with regulations at the federal, state and local level and follow the organization-specific policies and guidelines, affecting business practices

Diversity, Equity and Inclusion:

Demonstrates a commitment to Diversity, Equity and Inclusion by treating everyone with respect and dignity, ensuring all voices are heard and advocating for change.

ABOUT EQUITABLEAt 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.

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 or email us at

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