At Shire, we are proud and grateful to employ military veterans and thank them for their contributions to our company and our country. See where your military experience can play a role at Shire by using our military skills translator job search tool below:
Chief of Controls, Greater NY ( 240000B9 )
Primary Location : UNITED STATES-NY-New York
Organization : Equitable
Schedule : Full-time
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?
Equitable is looking for a Chief of Controls supporting our Greater New York Complex branches. This position will be responsible for providing on-site leadership and regional support to branches from New York City to Long Island. This role is flexible, working a few days per week in office and the rest remotely.
Key Job Responsibilities
Conduct announced and unannounced annual associate interviews/audits as required by EQH Advisors Policy and Regulatory requirements (FINRA rule 3010).
Inspection of business practices and business physical location.
Conduct routine and special annual associate interviews in assigned regions or areas needed based on supervisor’s discretion.
Significant coordination with local branches and Region for scheduling purposes – defined as tracking benchmarks of supervisory activities
Supervision of Pinpoint related items for Branch that is housing this position.
Various local Branch delegations
On-site supervision support to branches without a vacant BCM/no BCM on-site (correspondence review, Pinpoint and ProSurv back up) mainly handled by MCOs – R-BCDs are backs to MCOs
Special Projects – Coordinate or support special projects for the division/field on behalf of HQ – include BCDs as sounding board for issues and projects that impact supervision – this is broad as the variety of issues we face change frequently
The role will be based in specific branch locations with the expectation of 50% required travel – limited to travel to branches when mock audits are needed and can’t be done remotely
In addition, the role may support the region on behalf of HQ by:
Assist BCM/EVP as needed to train or address deficiencies noted during annual interviews.
Conduct mock audits of Local OSJs.
Supervision support of field sales force and Region (back up to BCM as directed by the Region)
Support of Books and Records requirements; Manage record retention
Support EQH’s sales force and other personnel in meeting EQH and industry (FINRA, SEC, State) compliance/controls standards through adherence to all applicable laws, rules, regulations and procedures.
Training – support training of field force, branch managers, branch controls managers; ensure annual education requirements are fulfilled
Suitability review system support
The total targeted compensation range for this position is $150,000 - $ 200,000. Total compensation varies based on skills, experience, geographical location and other factors.
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 : Equitable Total Rewards Program (https://portal.equitable.com/appentry/EDoxRedirect?node_id=A2023013000001)
Qualifications
Required Qualifications
Bachelor’s degree or equivalent work experience
12 years of professional work experience in the financial services industry
FINRA Series 7,24; Series 51 or 53; and Series 66 or 65/63 Registrations
Preferred Qualifications
Extensive knowledge of EQH's branch structure, products, systems, compliance and supervisory requirements
Exceptional oral and written communication skills
Ability to manage relationships with competing objectives
Ability to present in a group environment
Background in training direct or non-direct reports
Skills
Business Acumen: Knowledge of business concepts, tools, and processes that are needed for making sound decisions in the context of the company's business; ability to apply this knowledge appropriately to diverse situations.
Communicating Complex Concepts: Knowledge of effective presentation tools and techniques to ensure clear understanding; ability to use summarization and simplification techniques to explain complex technical concepts in simple, clear language appropriate to the audience.
Influencing: Knowledge of effective influencing tactics and strategies; ability to impact decisions within and outside own organization.
Insurance Legal and Regulatory Environment: Knowledge of federal, state and local laws and regulations; ability to comply with these laws and regulations in insurance industry practices and activities.
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 the organization-specific policies and guidelines, affecting business practices.
Diversity, Equity and Inclusion: Demonstrates a commitment to Diversity, Equity and Inclusion by treating everyone with respect and dignity, ensuring all voices are heard and advocating for change.
ABOUT EQUITABLE
At Equitable, we’re a team of over ten thousand strong; 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.
NOTE: Equitable participates in the E-Verify program.
If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us at TalentAcquisition@equitable.com .
Req ID: 240000B9