Compliance and Controls Lead Associate (HYBRID)

Job Number: 9946

Job Number: 26000042

External Description: About the Role

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.

The Compliance & Controls Lead Associate plays a key role in supporting operational teams by helping ensure compliance with regulatory, audit, and internal control requirements. This position partners closely with operations, auditors, and examiners to coordinate documentation, facilitate walkthroughs, and support audit responses from planning through remediation.

This role also provides guidance and support to team members and serves as a trusted resource across products, processes, and systems.

What You'll Be Doing

• Support operational areas by identifying audit and regulatory requirements and coordinating compliance activities
• Gather, prepare, and organize documentation across multiple teams
• Facilitate walkthroughs and communicate effectively with auditors and examiners
• Coordinate audit activities from scoping and planning through remediation
• Track responses, remediation efforts, and management sign-offs
• Adjust priorities and workflows to meet evolving business needs
• Coach, develop, and support team members, fostering collaboration and shared success
• Independently address complex or sensitive issues with appropriate guidance and escalation when needed

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 $50,000 - $65,000. 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

• Bachelor's degree preferred, but not required
• Approximately 1 years of experience in a fast-paced financial services or regulated environment preferred
• Ability to quickly learn product features, systems, and transaction processes
• Ability to create or update procedures and documentation as needed
• Extremely self motivated and eager to learn.

Skills

Business Analytics: Knowledge of technologies, techniques and practices for the evaluation of business performance data; ability to analyze business performance using advanced statistical methods to predict trends and providing forecasts that drive business decisions and business planning.

Data Gathering and Reporting: Knowledge of tools, techniques and processes for gathering and reporting data; ability to practice them in a particular department or division of a company.

Data Integrity: Knowledge of objectives, terminologies, and approaches of data integrity; ability to ensure the accuracy and consistency of data in various business environments.

Document Management: Knowledge of document management; ability to categorize, integrate, update, document and distribute business information in a secure, effective way.

Effective Communications: Understanding of effective communication concepts, tools and techniques; ability to effectively transmit, receive, and accurately interpret ideas, information, and needs through the application of appropriate communication behaviors.

Internal Controls: Knowledge of concept, methods, and processes of internal control; ability to create, implement, evaluate and enhance processes in internal controls.

Managing Multiple Priorities: Knowledge of effective self-management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, making effective judgments as to prioritizing and time allocation.

Process Mapping/Flowcharting: Knowledge of the concepts of process mapping; ability to carry out the documentation of current and proposed manufacturing processes to identify and make improvements.

Project Administration: Knowledge of project administration best practices and ability to use organizational strategies, practices and tools for administering projects.
#LI-Hybrid

About Equitable

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.

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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 .

Community / Marketing Title: Compliance and Controls Lead Associate (HYBRID)

Location_formattedLocationLong: Charlotte, North Carolina US