Compliance Officer
Apply NowCompany: Equitable Advisors
Location: Charlotte, NC 28269
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 Equitable Law Department's Mission is to Serve as Equitable's trusted counsel empowering Equitable to pursue its noble purpose by upholding the highest standards, forging collaborative relationships and delivering creative solutions.
At Equitable we have reimagined how we want to work and are guided by principles of inclusivity, flexibility, and connection. Come join Equitable Distributors Compliance Team and enjoy working for a leading financial company with an amazing and diverse culture! We offer a flexible hybrid office/remote work environment, and this position is based in our Charlotte, NC office.
Equitable is currently looking to hire a Compliance Officer within Equitable Distributors Compliance, which is a part of Equitable's Legal and Compliance organization.
Reporting directly to the Chief Compliance Officer, the role includes contributing to the overall compliance program functions within Equitable Distributors, LLC (EDL). This includes providing compliance support and guidance to EDL business areas related to wholesale distribution functions of EDL that include the distribution of variable annuity, group annuity, life insurance and mutual funds. In addition to day-to-day compliance support, the role also includes the performance of various compliance oversight functions.
As a key member of the team your responsibilities would include, but are not limited to:
The ideal candidate would demonstrate knowledge of:
In Office Schedule: This team member will be working in office 2 days pers week.
If you are ready for this exciting challenge, don't hesitate and apply today!
The base salary range for this position is $100,000-$120,000. 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
Qualifications
Required Qualifications:
Preferred Qualifications
Skills
Accuracy and Attention to Detail: Understand the necessity and value of accuracy; ability to complete tasks with high-level of precision.
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.
Effective Communication: Understand 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.
Insurance Legal and Regulatory Environment: Knowledge of federal, state and local laws and regulations; ability to comply with these laws and regulations in insurance industry practices and activities.
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.
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.
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.
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.
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.
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 Equitable Law Department's Mission is to Serve as Equitable's trusted counsel empowering Equitable to pursue its noble purpose by upholding the highest standards, forging collaborative relationships and delivering creative solutions.
At Equitable we have reimagined how we want to work and are guided by principles of inclusivity, flexibility, and connection. Come join Equitable Distributors Compliance Team and enjoy working for a leading financial company with an amazing and diverse culture! We offer a flexible hybrid office/remote work environment, and this position is based in our Charlotte, NC office.
Equitable is currently looking to hire a Compliance Officer within Equitable Distributors Compliance, which is a part of Equitable's Legal and Compliance organization.
Reporting directly to the Chief Compliance Officer, the role includes contributing to the overall compliance program functions within Equitable Distributors, LLC (EDL). This includes providing compliance support and guidance to EDL business areas related to wholesale distribution functions of EDL that include the distribution of variable annuity, group annuity, life insurance and mutual funds. In addition to day-to-day compliance support, the role also includes the performance of various compliance oversight functions.
As a key member of the team your responsibilities would include, but are not limited to:
- Conducting OSJ, non-branch and Residential Supervisory Location inspections (remotely).
- Review of outside business activity (OBA) requests.
- Monitoring of non-cash compensation.
- Conducting new hire compliance orientations.
- Making observations and recommendations for improvements to internal controls and polices/procedures.
- Planning, testing, and drafting Compliance reports.
The ideal candidate would demonstrate knowledge of:
- SEC, FINRA and State laws, rules, and regulations.
- Established knowledge and understanding of variable products.
- Thorough understanding of FINRA's non-cash compensation rules.
In Office Schedule: This team member will be working in office 2 days pers week.
If you are ready for this exciting challenge, don't hesitate and apply today!
The base salary range for this position is $100,000-$120,000. 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
Qualifications
Required Qualifications:
- Bachelor's degree
- FINRA Series 6 or 7 and 26 or 24
- 3+ years of established compliance experience, preferably with a wholesale distributing broker dealer.
- Demonstrated understanding of SEC, FINRA and State laws, rules and regulations.
- Proven knowledge and understanding of variable products.
- Substantiated track record of implementing policy and procedure updates.
- Ability to balance business needs in a practical fashion, while ensuring compliance with EDL policy and applicable financial industry laws, rules and regulations.
- Microsoft Office applications including Excel, WORD, and other Microsoft applications.
- Ability to work independently and meet deadlines while handling multiple tasks with minimal supervision.
Preferred Qualifications
- Knowledge of the group retirement markets and practices
- Flexible and willing to respond to unanticipated issues and constantly reprioritize based on business demands.
- Self-motivated with established time management skills.
- Outstanding interpersonal skills and ability to establish and maintain effective working relationships with others.
- Ability to both "think on your feet" and think creatively.
- Professional, energetic, team-player with outgoing personality and positive attitude and outlook.
Skills
Accuracy and Attention to Detail: Understand the necessity and value of accuracy; ability to complete tasks with high-level of precision.
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.
Effective Communication: Understand 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.
Insurance Legal and Regulatory Environment: Knowledge of federal, state and local laws and regulations; ability to comply with these laws and regulations in insurance industry practices and activities.
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.
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.
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.
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.
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.