Branch Controls Manager (Hybrid)

Branch Controls Manager (Hybrid) ( 240000DI ) Primary Location : UNITED STATES-NY-Syracuse Organization : Equitable Schedule : Full-time 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? The candidate should be located in one of the following offices of The Empire Branch - Syracuse, NY, Rochester NY, Albany, NY or Buffalo NY and report to the Chief of Controls for the Complex. This candidate will assist the Branch Managers of The Empire Branch with the supervision of the Financial Professionals for the branch as well as oversight from a Complex level for various functions. The candidate's day-to-day responsibilities will be: Frontline Supervisor at registered branch location including but are not limited to the following responsibilities: Suitability Review - including the review of Replacements and Platform Switches Annual Associate Interviews Training of new Financial Professionals Enhanced Supervision of Branch FPs, as needed Work with National Compliance Office - for any FINRA Inquiries or Arbitration Dotted line to Branch EVP to ensure FP adherence to all firm compliance policies Administer Performance Reviews for Branch BCMs/direct reports Correspondence Review Outside Business Activity review G&E review Advertising and Website revieW Administrative duties including but not limited to the following: FP email notification of outstanding items Preparing Documents for electronic signature Electronic filing of compliance related documents to meet books and records requirements. The base salary range for this position is $54,000-$74,000. 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 ( #LI-HYBRID Qualifications Required Qualifications Able to resolve conflicts and problems independently. Attention to detail and problem solving skills Ability to function independently with proactive decision-making skills Strong ability to collaborate and strong communication skills Basic understanding of the organization's financial performance and products is a plus. FINRA SIE, Series 7 Top Off Exam, 63 and 24, or ability to obtain all required registrations within the first 6 months. Preferred Qualifications Bachelors degree Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision. Customer Focus: Knowledge of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and ability to leverage that information in creating customized customer solutions. Data Gathering and Analysis: Knowledge of data gathering and analysis tools, techniques and processes; ability to gather and analyze data on the learning needs of a target population. 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. Project Administration: Knowledge of project administration best practices and ability to use organizational strategies, practices and tools for administering projects. Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities. 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 EQUITABLE At 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 (212) or email us at . Req ID: 240000DI

Created: 2024-10-19