Equitable
Equitable Advisors Deputy Chief Compliance Officer
Equitable, Charlotte, North Carolina, United States, 28245
At Equitable, our power is in our people. We bring together individuals from different cultures and backgrounds, and 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. 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.
Equitable reimagines how we work and is guided by principles of inclusivity, flexibility, and connection. The Compliance Team welcomes you to a leading financial company with an amazing, diverse culture. We offer a flexible hybrid office/remote work environment. This position is based in either the Charlotte, NC or New York City office.
The role: Deputy Chief Compliance Officer (DCCO) for Equitable Advisors within the National Compliance Office. You will assist in developing and overseeing Equitable Advisors’ SEC and FINRA‑compliant programs related to its investment advisory and broker/dealer operations. Reporting to the Chief Compliance Officer, you will lead audit teams, surveillance oversight, regulatory reporting and examinations, and training programs. Your deep understanding of investment advisory business and retail financial services will enable you to communicate effectively, foster collaborative relationships, oversee complex projects, perform risk‑based prioritization, and maintain attention to detail.
Responsibilities
Maintain ongoing knowledge of regulation and industry best practices.
Develop and maintain policies, procedures, internal controls, and supervisory procedures, continually assessing adequacy and alignment with changing regulation and the firm’s business model.
Manage business risks through the development, planning, and execution of the Compliance Program, working closely with the executive team and financial professionals.
Conduct risk assessments of the firm’s compliance exposures, assign risk levels, and identify key controls to mitigate conflicts.
Serve as a resource for compliance counsel and field management regarding compliance issues.
Oversee regulatory inquiries and examinations.
Conduct quarterly compliance oversight meetings with complex and executive management.
Prepare the 3120/3130 report for the Chairman of Equitable Advisors and the Board.
Additional responsibilities as assigned.
Required Qualifications
Bachelor’s Degree.
FINRA Series 7 and 24.
10+ years of compliance experience in the financial services industry.
Substantive management experience.
Experience with sophisticated investment advisory and securities brokerage compliance issues and product knowledge.
Full understanding of FINRA Rules, Investment Advisers Act of 1940, SEC and state securities regulations.
Preferred Qualifications
Demonstrated interpersonal skills and ability to establish and maintain effective working relationships.
Ability to think creatively and “think on your feet.”
Professional, energetic, team‑player with an outgoing personality and positive attitude.
Ability to work independently and meet deadlines while handling multiple tasks with minimal supervision.
Skills
Accuracy and Attention to Detail:
Ability to complete tasks with high precision.
Effective Communication:
Ability to transmit, receive, and interpret ideas and information accurately.
Managing Multiple Priorities:
Knowledge of self‑management practices and ability to prioritize competing objectives.
Regulatory Environment – Financial Services:
Knowledge of federal, state, and local regulations and internal policies.
Risk & Control Self‑Assessment (RCSA):
Ability to evaluate risks inherent in investment activities and ensure controls are adequate.
Benefits and Compensation Office schedule: 2–3 days per week in the office. Target compensation: $260,000 – $300,000. Total compensation varies based on experience, geography, and other factors. Benefits include medical, dental, vision, a 401(k) plan, and paid time off.
Equitable Pay and Benefits: Equitable Total Rewards Program (link removed).
Equitable is committed to providing equal employment opportunities to all employees, applicants, and candidates, based on qualifications and without regard to protected class characteristics. Equitable participates in the E‑Verify program.
For reasonable accommodation in the application or interview process, contact Human Resources at (212) 314-2211 or email TalentAcquisition@equitable.com.
At Equitable, we are dedicated to serving our clients’ financial well‑being and inviting you to join a purpose‑driven career with continuous growth and collaboration.
#J-18808-Ljbffr
Equitable reimagines how we work and is guided by principles of inclusivity, flexibility, and connection. The Compliance Team welcomes you to a leading financial company with an amazing, diverse culture. We offer a flexible hybrid office/remote work environment. This position is based in either the Charlotte, NC or New York City office.
The role: Deputy Chief Compliance Officer (DCCO) for Equitable Advisors within the National Compliance Office. You will assist in developing and overseeing Equitable Advisors’ SEC and FINRA‑compliant programs related to its investment advisory and broker/dealer operations. Reporting to the Chief Compliance Officer, you will lead audit teams, surveillance oversight, regulatory reporting and examinations, and training programs. Your deep understanding of investment advisory business and retail financial services will enable you to communicate effectively, foster collaborative relationships, oversee complex projects, perform risk‑based prioritization, and maintain attention to detail.
Responsibilities
Maintain ongoing knowledge of regulation and industry best practices.
Develop and maintain policies, procedures, internal controls, and supervisory procedures, continually assessing adequacy and alignment with changing regulation and the firm’s business model.
Manage business risks through the development, planning, and execution of the Compliance Program, working closely with the executive team and financial professionals.
Conduct risk assessments of the firm’s compliance exposures, assign risk levels, and identify key controls to mitigate conflicts.
Serve as a resource for compliance counsel and field management regarding compliance issues.
Oversee regulatory inquiries and examinations.
Conduct quarterly compliance oversight meetings with complex and executive management.
Prepare the 3120/3130 report for the Chairman of Equitable Advisors and the Board.
Additional responsibilities as assigned.
Required Qualifications
Bachelor’s Degree.
FINRA Series 7 and 24.
10+ years of compliance experience in the financial services industry.
Substantive management experience.
Experience with sophisticated investment advisory and securities brokerage compliance issues and product knowledge.
Full understanding of FINRA Rules, Investment Advisers Act of 1940, SEC and state securities regulations.
Preferred Qualifications
Demonstrated interpersonal skills and ability to establish and maintain effective working relationships.
Ability to think creatively and “think on your feet.”
Professional, energetic, team‑player with an outgoing personality and positive attitude.
Ability to work independently and meet deadlines while handling multiple tasks with minimal supervision.
Skills
Accuracy and Attention to Detail:
Ability to complete tasks with high precision.
Effective Communication:
Ability to transmit, receive, and interpret ideas and information accurately.
Managing Multiple Priorities:
Knowledge of self‑management practices and ability to prioritize competing objectives.
Regulatory Environment – Financial Services:
Knowledge of federal, state, and local regulations and internal policies.
Risk & Control Self‑Assessment (RCSA):
Ability to evaluate risks inherent in investment activities and ensure controls are adequate.
Benefits and Compensation Office schedule: 2–3 days per week in the office. Target compensation: $260,000 – $300,000. Total compensation varies based on experience, geography, and other factors. Benefits include medical, dental, vision, a 401(k) plan, and paid time off.
Equitable Pay and Benefits: Equitable Total Rewards Program (link removed).
Equitable is committed to providing equal employment opportunities to all employees, applicants, and candidates, based on qualifications and without regard to protected class characteristics. Equitable participates in the E‑Verify program.
For reasonable accommodation in the application or interview process, contact Human Resources at (212) 314-2211 or email TalentAcquisition@equitable.com.
At Equitable, we are dedicated to serving our clients’ financial well‑being and inviting you to join a purpose‑driven career with continuous growth and collaboration.
#J-18808-Ljbffr