Job summary
Job post source
This job is directly from Equitable
Job overview
The Chief Compliance Officer at Equitable leads the compliance program for Equitable Distributors, ensuring regulatory adherence and supporting business areas in wholesale distribution of financial products.
Responsibilities and impact
The role involves monitoring regulatory laws, overseeing compliance programs, advising business lines, managing regulatory examinations, leading the compliance team, conducting inspections, developing compliance content, and improving internal controls.
Compensation and benefits
The targeted total compensation ranges from $260,000 to $300,000, with benefits including medical, dental, vision, 401(k), and paid time off.
Experience and skills
Requires a bachelor's degree, FINRA Series 6 or 7 and 26 or 24 licenses, 7+ years of compliance experience preferably in wholesale broker dealer or senior compliance roles, knowledge of SEC, FINRA, State Insurance laws, and expertise in variable annuity and mutual fund markets.
Career development
Equitable offers growth opportunities, internal mobility, and comprehensive compensation to support career advancement and overall well-being.
Work environment and culture
Equitable values diversity, collaboration, teamwork, and encourages leveraging unique talents to make a positive impact in the community and workplace.
Company information
Equitable is a financial services company focused on helping clients secure their financial well-being through innovative leadership and a commitment to diversity and inclusion.
Team overview
The candidate will join the Equitable Distributors Compliance team within the Legal and Compliance organization, working closely with the Chief Compliance Officer and compliance staff.
Job location and travel
The position is based in Charlotte, NC, with an in-office schedule of 2-3 days per week and options for remote work on other days.
Unique job features
The role includes unique responsibilities such as managing FINRA Rule testing, conducting supervisory inspections remotely, and developing firm-wide compliance training and policies.
Company overview
Equitable is a leading financial services company that provides a range of financial planning, investment management, and insurance services. The company generates revenue through the sale of life insurance policies, annuities, and investment products, catering to individuals, businesses, and institutions. Founded in 1859, Equitable has a rich history of helping clients secure their financial futures and has evolved to offer innovative solutions tailored to modern financial needs. The company is known for its commitment to customer service and financial education, aiming to empower clients to make informed financial decisions.
How to land this job
Position your resume to highlight your extensive compliance leadership experience, particularly in wholesale distribution and regulatory oversight within financial services, aligning closely with Equitable's Chief Compliance Officer role.
Emphasize your knowledge of SEC, FINRA, State Insurance laws, and regulatory requirements, as well as your ability to manage compliance programs, lead teams, and handle regulatory examinations and reporting.
Apply through multiple platforms including Equitable's corporate careers site, LinkedIn, and relevant job boards to maximize exposure and application tracking.
Connect on LinkedIn with professionals in Equitable's Legal and Compliance division; open conversations by referencing recent regulatory changes or expressing interest in their approach to compliance innovation at Equitable.
Optimize your resume for ATS by embedding keywords such as 'FINRA compliance,' 'regulatory examinations,' 'compliance program management,' 'variable annuity distribution,' and 'SEC regulations' to ensure it passes automated screenings.
Leverage Jennie Johnson's Power Apply feature to automate tailored applications, identify multiple application channels, and discover LinkedIn contacts in Equitable’s compliance division, allowing you to focus your energy on strategic networking and interview preparation.
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