{"id":3568967,"url":"https://alion.io/job/equitable-advisors-branch-compliance-manager-onsite","title":"Branch Compliance Manager (Onsite)","company":{"id":2726538,"name":"Equitable Advisors","domain":"equitableadvisors.com","url":"https://alion.io/company/equitableadvisors","size_band":"1001-5000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Oracle","truth_index":{"grade":"B","score":75,"open_postings":9,"ghost_share":0,"stale_share":1,"repost_share":0,"time_to_fill_p50_days":null,"computed_at":"2026-11-03T05:54:40Z"}},"role":"Management","role_family":"Management","seniority":"junior","employment_type":null,"work_mode":"on_site","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Minneapolis, United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":null,"salary_estimate":{"min_usd":60000,"max_usd":111000,"period":"year","method":"role_seniority_country_remote_cell","sample_n":1589},"experience_years_min":2,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[],"status":"live","first_seen_at":"2026-10-21T00:00:00Z","employer_posted_date":"2026-10-21","last_verified_at":"2026-11-04T00:03:40Z","board_verified":true,"closed_at":null,"days_open":14,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":14},"description":"About the Role\nAt Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives- a mission we’ve honed since 1859.\nEquitable 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.\nThis 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.\nWhat You’ll Be Doing\nResponsible 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).\n\nMonitor and maintain various compliance surveillance reports.\n\nSupervise advertising, correspondence, outside business activities, gifts and entertainment, DBAs. Manage and escalate client complaints.\n\nConduct Financial Professionals’ compliance audits, including review of business, sales practices, and inspection of physical locations.\n\nSupport compliance training and development of Branch Financial Professionals.\n\nProvide ongoing guidance and direction to Financial Professionals and Branch staff to support compliance, operational effectiveness, and best practices.\n\nPartner with BCM communities to support system enhancements, testing, and process improvement initiatives as needed.\n\nThe 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.\nFor 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.\nEquitable Pay and Benefits: Equitable Total Rewards Program\nAbout the Role\nAt Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives- a mission we’ve honed since 1859.\nEquitable 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.\nThis 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.\nWhat You’ll Be Doing\nResponsible 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).\n\nMonitor and maintain various compliance surveillance reports.\n\nSupervise advertising, correspondence, outside business activities, gifts and entertainment, DBAs. Manage and escalate client complaints.\n\nConduct Financial Professionals’ compliance audits, including review of business, sales practices, and inspection of physical locations.\n\nSupport compliance training and development of Branch Financial Professionals.\n\nProvide ongoing guidance and direction to Financial Professionals and Branch staff to support compliance, operational effectiveness, and best practices.\n\nPartner with BCM communities to support system enhancements, testing, and process improvement initiatives as needed.\n\nThe 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.\nFor 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.\nEquitable Pay and Benefits: Equitable Total Rewards Program\nWhat You Will Bring\nRequired Qualifications\nBachelors Degree or equivalent work experience.\n\n2+ years of experience in a compliance-related or compliance-supporting role within financial services or insurance industry.\n\nFINRA Series 7, 24 and 65 -or- 66, registrations, active upon hire.\n\nFINRA Series 51 or 53 active upon hire OR ability to obtain within 180 days of hire date.\n\nKnowledge of life, annuity, investment, and advisory products.\n\nPreferred Qualifications\nKnowledge of industry related to federal, state, and local laws and regulations.\n\nDemonstrated analytical and problem-solving skills, with the ability to interpret data, identify trends, and support risk-based decision-making.\n\nEffective communication and collaboration skills, with a proven ability to partner cross-functionally and clearly translate complex compliance concepts.\n\nAbility to manage multiple priorities in a fast-paced, deadline-driven environment while maintaining high standards of quality and compliance.\n\nA proactive, growth-oriented mindset with a commitment to continuous learning, process improvement, and staying current on regulatory changes and industry best practices.\n\nDemonstrated ability to make sound business decisions while collaborating effectively with Branch and Complex leadership.\n\nSkills\nAudit and Compliance Function: Knowledge of major responsibilities and tasks of Audit and Compliance (A&C) function, ability to manage the operation of A&C function in various business environments.\nInsurance 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.\nRisk Assessment: Knowledge of methods and techniques used to identify actual and potential hazards or loss exposures; ability to evaluate the risks according to processes and guidelines.\nRisk Management: Knowledge of processes, tools and techniques for assessing and controlling an organization's exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.\nSecurities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to research and comply with relevant laws and regulations during business activities.\nAbout Equitable\nAt Equitable, we’re a team committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.\nWe 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.\nWe 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.\nWe are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose. Click Careers at Equitable to learn more.\n**********\nEquitable 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.\nNOTE: Equitable participates in the E-Verify program.\nIf 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 .\nWhat You Will Bring\nRequired Qualifications\nBachelors Degree or equivalent work experience.\n\n2+ years of experience in a compliance-related or compliance-supporting role within financial services or insurance industry.\n\nFINRA Series 7, 24 and 65 -or- 66, registrations, active upon hire.\n\nFINRA Series 51 or 53 active upon hire OR ability to obtain within 180 days of hire date.\n\nKnowledge of life, annuity, investment, and advisory products.\n\nPreferred Qualifications\nKnowledge of industry related to federal, state, and local laws and regulations.\n\nDemonstrated analytical and problem-solving skills, with the ability to interpret data, identify trends, and support risk-based decision-making.\n\nEffective communication and collaboration skills, with a proven ability to partner cross-functionally and clearly translate complex compliance concepts.\n\nAbility to manage multiple priorities in a fast-paced, deadline-driven environment while maintaining high standards of quality and compliance.\n\nA proactive, growth-oriented mindset with a commitment to continuous learning, process improvement, and staying current on regulatory changes and industry best practices.\n\nDemonstrated ability to make sound business decisions while collaborating effectively with Branch and Complex leadership.\n\nSkills\nAudit and Compliance Function: Knowledge of major responsibilities and tasks of Audit and Compliance (A&C) function, ability to manage the operation of A&C function in various business environments.\nInsurance 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.\nRisk Assessment: Knowledge of methods and techniques used to identify actual and potential hazards or loss exposures; ability to evaluate the risks according to processes and guidelines.\nRisk Management: Knowledge of processes, tools and techniques for assessing and controlling an organization's exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.\nSecurities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to research and comply with relevant laws and regulations during business activities.\nAbout Equitable\nAt Equitable, we’re a team committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.\nWe 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.\nWe 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.\nWe are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose. Click Careers at Equitable to learn more.\n**********\nEquitable 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.\nNOTE: Equitable participates in the E-Verify progr...","description_format":"text","description_chars":12257,"description_truncated":true,"requirements":{"experience_years_min":2,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":{"level":"bachelor","optional":true},"security_clearance":false,"languages":[]},"benefits":["Continuous learning"],"hiring_locations":[],"hiring_excludes":[],"relocation_offered":false,"industries":["Financial Services","Wealth Management & Financial Advisors"],"lifecycle":[{"event":"open","at":"2026-10-31T14:19:58Z"}],"visa":[],"liveness":{"score":76,"band":"hot","label":"Hiring now","p_open":1,"p_active":0.846,"p_room":0.9,"age_days":13,"expected_fill_days":22,"reasons":["conf:4","win:mid","comp:junior,brand"],"computed_at":"2026-11-03T05:54:40Z"},"pay":null,"html_url":"https://alion.io/job/equitable-advisors-branch-compliance-manager-onsite","json_url":"https://alion.io/job/equitable-advisors-branch-compliance-manager-onsite.json","meta":{"generated_at":"2026-11-04T05:28:43Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":8518,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-11-05T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":2726538},"rest":"https://alion.io/mcp/rest/get_company?id=2726538"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Fequitable-advisors-branch-compliance-manager-onsite"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Fequitable-advisors-branch-compliance-manager-onsite"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Fequitable-advisors-branch-compliance-manager-onsite"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/equitable-advisors-branch-compliance-manager-onsite\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Fequitable-advisors-branch-compliance-manager-onsite"}],"agent":{"mcp":"https://alion.io/mcp/jobs","mcp_open":"https://alion.io/mcp/open","next":[{"tool":"get_job","arguments":{"id":3568967}},{"tool":"search_jobs","arguments":{"company":"equitableadvisors.com","detail":"compact"}},{"tool":"match_people","arguments":{"job_id":3568967},"note":"people open to offers who fit this vacancy"}],"note":"The same data through MCP tools: https://alion.io/mcp/open needs no sign-in (compact searches, postings, people); https://alion.io/mcp with an Alion account has everything. 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