Branch Controls Manager
Location: Morristown, New Jersey US
Notice
This position is no longer open.
Job Number: 6079
Job Number: 2000046J
External Description:
Thank you for your interest in a position with Equitable.
We are seeking a Branch Controls Manager who will be responsible
for the following duties but not limited to:
- Provide administrative support to the Lead BCM and Sr. BCM to
manage current Compliance procedures
- Manage and coordinate the collection, processing, tracking, and filing
of required forms from Associates
- Prepare managers/principals to perform Associate and office audits/reviews
and provide necessary information and forms
- Provide support to Financial Professionals regarding compliance
procedures
- Effectuates and maintains branch office books & records requirement.
- Ensures education
and tracking of financial advisors and other supervisors by coordinating annual compliance meetings, required Firm courses
and regulatory requirements.
- Conducts regulatory-required annual financial advisor compliance interviews/audits,
including: inspection of business practices and business physical location.
Licensing Requirement:
- Series 7 and 24 and the ability to obtain the 66 within 6 months of hire is required. Will also consider a candidate who has a Series 7 and 66. In this case the 24 must be obtained within 6 months of hire.
- 3 years of Branch Controls experience
- Series 7 and 24 or 7 and 66
Preferred Qualifications:
- Bachelor's Degree
- Compliance experience
- Able to resolve conflicts and problems independently
- Strong leadership skills
- Ability to function independently as well as in a team atmosphere
- Proactive decision-making skills Strong ability to collaborate
- Strong communication skills
About Equitable
We have been providing stability and reliability to our clients since 1859 to help them live their lives with confidence, to give them peace of mind, and enable them to realize their dreams for their loved ones and their legacy.
As an employer, Equitable is committed to creating an environment where everyone feels completely comfortable bringing their true selves to work every day. Equitable has been recognized and certified as a great place to work by the Great Place to Work Institute.
We provide our employees opportunities to move within our organization so they can grow their career and skills without ever having to leave Equitable. Almost 40% of our open jobs are filled with current employees.
In addition to competitive compensation and an outstanding benefits package including 401(k) and medical programs, we offer the opportunity for continued professional development in a congenial corporate environment.
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) 314-2195 or email us at TalentAcquisition@equitable.com.
Community / Marketing Title: Branch Controls Manager
Location_formattedLocationLong: Morristown, New Jersey US