Branch Compliance Manager (On-Site)

Organization: Equitable

Schedule: Full-time

About the Role: At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives- a mission we've honed since 1859. Equitable is looking for an experienced Branch Controls Manager (BCM) to join our team in Minneapolis, MN. This role will report to the Chief of Controls for the Central Complex. The BCM will assist the Branch Manager with the compliance supervision of the Financial Professionals for the Branch. This role requires full-time, in-office presence Monday through Friday, aligning with core hours (8:00 AM–5:00 PM CST) to ensure consistent, real-time compliance support and a high-quality customer experience.

What You'll Be Doing: Responsible for ensuring suitable sales practices, account documentation, and books and records. Comply with SEC, FINRA and state rules and insurance regulations, including oversight of DOL disclosures and Regulation Best Interest (Reg BI).Monitor and maintain various compliance surveillance reports. Supervise advertising, correspondence, outside business activities, gifts and entertainment, DBAs. Manage and escalate client complaints. Conduct Financial Professionals' compliance audits, including review of business, sales practices, and inspection of physical locations. Support compliance training and development of Branch Financial Professionals. Provide ongoing guidance and direction to Financial Professionals and Branch staff to support compliance, operational effectiveness, and best practices. Partner with BCM communities to support system enhancements, testing, and process improvement initiatives as needed. The base salary range for this position is $80,000 – $100,000. 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. What You Will Bring

Required Qualifications: Bachelors Degree 2+ years of experience in a compliance-related or compliance-supporting role within financial services or insurance industry. FINRA Series 7, 65 or 66, 24 registrations, active upon hire. FINRA Series 51 or 53 active upon hire OR ability to obtain within 180 days of hire date. Knowledge of life, annuity, investment, and advisory products.

Key Competencies: Knowledge of industry related to federal, state, and local laws and regulations. Demonstrated analytical and problem-solving skills, with the ability to interpret data, identify trends, and support risk-based decision-making. Effective communication and collaboration skills, with a proven ability to partner cross-functionally and clearly translate complex compliance concepts. Ability to manage multiple priorities in a fast-paced, deadline-driven environment while maintaining high standards of quality and compliance. A proactive, growth-oriented mindset with a commitment to continuous learning, process improvement, and staying current on regulatory changes and industry best practices. Demonstrated ability to make sound business decisions while collaborating effectively with Branch and Complex leadership. 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.