COLUMBIA, MD, USA
5 days ago
Controls Supervisor (Hybrid)

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?

he Columbia, MD Branch location is seeking a Controls Supervisor. This role is able to be performed in a hybrid schedule.

Responsible for ensuring sales practices, account documentation, and books and records comply with SEC, FINRA and state rules and insurance regulations.Monitor and maintain various compliance surveillance repoTrts.Conduct Financial Professionals’ compliance audits, including review of business practices and inspection of physical locationsOngoing Financial Professional compliance training.

The base salary range for this position is $74,000-$80,000. 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. For detailed descriptions of these benefits, please reference the link below.

Equitable Pay and Benefits: Equitable Total Rewards Program

#LI- HYRBID

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?

he Columbia, MD Branch location is seeking a Controls Supervisor. This role is able to be performed in a hybrid schedule.

Responsible for ensuring sales practices, account documentation, and books and records comply with SEC, FINRA and state rules and insurance regulations.Monitor and maintain various compliance surveillance repoTrts.Conduct Financial Professionals’ compliance audits, including review of business practices and inspection of physical locationsOngoing Financial Professional compliance training.

The base salary range for this position is $74,000-$80,000. 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. For detailed descriptions of these benefits, please reference the link below.

Equitable Pay and Benefits: Equitable Total Rewards Program

#LI- HYRBID

Required Qualifications

Bachelors degreeMinimum 3 years in financial services or compliance roleFINRA Series 7, 24, 63/65 or 66Knowledge of financial services regulatory environmentStrong written and verbal communications skillsCritical thinking and attention to detailEffective problem-solving capabilityProficient in managing and prioritizing concurrent time-sensitive projects

Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.

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.

Data Gathering and Analysis: Knowledge of data gathering and analysis tools, techniques and processes; ability to gather and analyze data on the learning needs of a target population.

Knowledge of Product Line: Knowledge of methodologies, tools and techniques for specific products; ability to develop product line processes and strategies.

Project Management: Knowledge of effective project management strategies and tactics; ability to plan, organize, monitor, and control projects, ensuring efficient utilization of technical and administrative resources to achieve project objectives.

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.

Required Qualifications

Bachelors degreeMinimum 3 years in financial services or compliance roleFINRA Series 7, 24, 63/65 or 66Knowledge of financial services regulatory environmentStrong written and verbal communications skillsCritical thinking and attention to detailEffective problem-solving capabilityProficient in managing and prioritizing concurrent time-sensitive projects

Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.

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.

Data Gathering and Analysis: Knowledge of data gathering and analysis tools, techniques and processes; ability to gather and analyze data on the learning needs of a target population.

Knowledge of Product Line: Knowledge of methodologies, tools and techniques for specific products; ability to develop product line processes and strategies.

Project Management: Knowledge of effective project management strategies and tactics; ability to plan, organize, monitor, and control projects, ensuring efficient utilization of technical and administrative resources to achieve project objectives.

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.

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