Equitable
Equitable Advisors Deputy Chief Compliance Officer
2 days ago – Be among the first 25 applicants
At Equitable, our power is in our people. We are 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’s 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 or New York City office.
Equitable is currently looking to hire a Deputy Chief Compliance Officer (DCCO) for Equitable Advisors within the National Compliance Office (NCO), which is a part of Equitable’s Legal and Compliance organization. This role will be largely focused on the dynamic investment advisory business of Equitable Advisors, the focus of the firm’s growth strategy.
Equitable Advisors is a broker/dealer and registered investment advisor that serves as the main retail wealth management arm of Equitable. With over $100 billion in assets under management and 4,550 advisors, Equitable Advisors is in the top ten of independent broker dealers and is Equitable’s fastest growing business segment.
Reporting to Equitable’s Advisors Chief Compliance Officer, the DCCO will be responsible for assisting in the development and oversight of Equitable Advisors’ SEC and FINRA‑related compliance programs for its investment advisory and broker/dealer operations. The DCCO will oversee audit teams, surveillance oversight, regulatory reporting, regulatory examinations, and training programs. The DCCO must have a deep understanding of the investment advisory business and the retail financial services business more broadly, and the ability to communicate effectively, develop collaborative relationships, oversee complex projects, perform risk‑based prioritization, and pay close attention to detail.
As a key member of the team, your responsibilities include:
Maintain ongoing knowledge of regulation and industry best practices.
Maintain and develop policies and procedures, internal controls, and supervisory procedures, continually assessing adequacy in light of regulatory and business changes.
Manage business risks through the development, planning, and execution of the Compliance Program, having direct interaction 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.
Provide close oversight over regulatory inquiries and examinations.
Conduct quarterly compliance oversight meetings with complex and executive management.
Help prepare the 3120/3130 report to the chairman of Equitable Advisors and the board.
Additional responsibilities as assigned.
In‑Office Schedule:
This team member will be working in office 2 to 3 days per week.
Compensation:
The total targeted compensation range for this position is $260,000 – $300,000. Total compensation varies based on skills, experience, geographical location, and other factors.
Benefits:
For eligible employees, Equitable provides a full range of benefits, including 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
Required Qualifications
Bachelor’s Degree
FINRA Series 7 and 24
10+ years compliance experience in the financial services industry
Substantive management experience
Experience with sophisticated investment advisory and securities brokerage compliance issues and substantive product knowledge in these areas
Full understanding of the requirements of the FINRA Rules, Investment Advisers Act of 1940, related regulatory guidance, SEC investment‑advisor regime, and federal and state securities laws and regulations
Preferred Qualifications
Demonstrated 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 an outgoing personality and positive attitude and outlook
Ability to work independently and meet deadlines while handling multiple tasks with minimal supervision
Skills
Accuracy and Attention to Detail:
Understand the necessity and value of accuracy; ability to complete tasks with a high level of precision.
Effective Communication:
Understand effective communication concepts, tools, and techniques; ability to transmit, receive, and accurately interpret ideas, information, and needs.
Managing Multiple Priorities:
Knowledge of effective self‑management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, prioritizing effectively.
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 organization‑specific policies and guidelines.
Risk & Control Self‑Assessment (RCSA):
Knowledge of RCSA; ability to assess, clarify, and appraise significant risks inherent in investment activities as well as to ensure internal controls, policies, and procedures are accurate and adequate.
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.
Primary Location UNITED STATES – NC – Charlotte
Other Locations UNITED STATES – NY – New York
Organization Equitable
Schedule Full‑time
Seniority Level Executive
Employment Type Full‑time
Job Function Legal
Referrals increase your chances of interviewing at Equitable by 2x
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At Equitable, our power is in our people. We are 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’s 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 or New York City office.
Equitable is currently looking to hire a Deputy Chief Compliance Officer (DCCO) for Equitable Advisors within the National Compliance Office (NCO), which is a part of Equitable’s Legal and Compliance organization. This role will be largely focused on the dynamic investment advisory business of Equitable Advisors, the focus of the firm’s growth strategy.
Equitable Advisors is a broker/dealer and registered investment advisor that serves as the main retail wealth management arm of Equitable. With over $100 billion in assets under management and 4,550 advisors, Equitable Advisors is in the top ten of independent broker dealers and is Equitable’s fastest growing business segment.
Reporting to Equitable’s Advisors Chief Compliance Officer, the DCCO will be responsible for assisting in the development and oversight of Equitable Advisors’ SEC and FINRA‑related compliance programs for its investment advisory and broker/dealer operations. The DCCO will oversee audit teams, surveillance oversight, regulatory reporting, regulatory examinations, and training programs. The DCCO must have a deep understanding of the investment advisory business and the retail financial services business more broadly, and the ability to communicate effectively, develop collaborative relationships, oversee complex projects, perform risk‑based prioritization, and pay close attention to detail.
As a key member of the team, your responsibilities include:
Maintain ongoing knowledge of regulation and industry best practices.
Maintain and develop policies and procedures, internal controls, and supervisory procedures, continually assessing adequacy in light of regulatory and business changes.
Manage business risks through the development, planning, and execution of the Compliance Program, having direct interaction 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.
Provide close oversight over regulatory inquiries and examinations.
Conduct quarterly compliance oversight meetings with complex and executive management.
Help prepare the 3120/3130 report to the chairman of Equitable Advisors and the board.
Additional responsibilities as assigned.
In‑Office Schedule:
This team member will be working in office 2 to 3 days per week.
Compensation:
The total targeted compensation range for this position is $260,000 – $300,000. Total compensation varies based on skills, experience, geographical location, and other factors.
Benefits:
For eligible employees, Equitable provides a full range of benefits, including 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
Required Qualifications
Bachelor’s Degree
FINRA Series 7 and 24
10+ years compliance experience in the financial services industry
Substantive management experience
Experience with sophisticated investment advisory and securities brokerage compliance issues and substantive product knowledge in these areas
Full understanding of the requirements of the FINRA Rules, Investment Advisers Act of 1940, related regulatory guidance, SEC investment‑advisor regime, and federal and state securities laws and regulations
Preferred Qualifications
Demonstrated 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 an outgoing personality and positive attitude and outlook
Ability to work independently and meet deadlines while handling multiple tasks with minimal supervision
Skills
Accuracy and Attention to Detail:
Understand the necessity and value of accuracy; ability to complete tasks with a high level of precision.
Effective Communication:
Understand effective communication concepts, tools, and techniques; ability to transmit, receive, and accurately interpret ideas, information, and needs.
Managing Multiple Priorities:
Knowledge of effective self‑management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, prioritizing effectively.
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 organization‑specific policies and guidelines.
Risk & Control Self‑Assessment (RCSA):
Knowledge of RCSA; ability to assess, clarify, and appraise significant risks inherent in investment activities as well as to ensure internal controls, policies, and procedures are accurate and adequate.
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.
Primary Location UNITED STATES – NC – Charlotte
Other Locations UNITED STATES – NY – New York
Organization Equitable
Schedule Full‑time
Seniority Level Executive
Employment Type Full‑time
Job Function Legal
Referrals increase your chances of interviewing at Equitable by 2x
Get notified about new Chief Compliance Officer jobs in New York, NY.
#J-18808-Ljbffr