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 :
LI-HYBRID
Qualifications
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