Branch Compliance Specialist
Equitable Advisors
Warren, NJ US
Posted ago
Equitable Advisors

Location: Morristown, New Jersey

Thank you for your interest in a position with Equitable Advisors.

We are seeking a Branch Compliance Specialist who will be responsible for the following duties but not limited to:

  • Provide administrative support to the Lead BCM and Sr. BCM to manage current Compliance procedures
  • Manage and coordinate the collection, processing, tracking, and filing of required forms from Associates
  • Prepare managers/principals to perform Associate and office audits/reviews and provide necessary information and forms
  • Provide support to Financial Professionals regarding compliance procedures
  • Effectuates and maintains branch office books and records requirements.
  • Ensures education and tracking of financial advisors and other supervisors by coordinating annual compliance meetings, required Firm courses, and regulatory requirements.
  • Conducts regulatory-required annual financial advisor compliance interviews/audits, including inspection of business practices and business physical location.

Licensing Requirement:

  • Series 7 and 24 and the ability to obtain the 66 within 6 months of hire is required. Will also consider a candidate who has a Series 7 and 66. In this case, the 24 must be obtained within 6 months of hire.


Minimum Qualifications:

  • 3 + years of Branch Controls experience
  • Series 7 and 24 or 7 and 66

Preferred Qualifications:

  • Bachelor's Degree
  • Compliance experience
  • Able to resolve conflicts and problems independently
  • Strong leadership skills
  • Ability to function independently as well as in a team atmosphere
  • Proactive decision-making skills
  • Strong ability to collaborate
  • Strong communication skills

About Equitable

We have been providing stability and reliability to our clients since 1859 to help them live their lives with confidence, to give them peace of mind, and enable them to realize their dreams for their loved ones and their legacy.

As an employer, Equitable is committed to creating an environment where everyone feels completely comfortable bringing their true selves to work every day. We have been recognized and certified as a great place to work by the Great Place to Work Institute.


We provide our employees with opportunities to move within our organization so they can grow their careers and skills without ever having to leave. Almost 40% of our open jobs are filled with current employees.

In addition to competitive compensation and an outstanding benefits package including 401(k) and medical programs, we offer the opportunity for continued professional development in a congenial corporate environment.

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.

About Equitable Advisors

Equitable Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services, and risk management. We have more than 40 branches across the country employing approximately 5,000 financial professionals- providing services of financial, retirement, estate planning strategies’ asset allocation, annuities; life insurance and mutual funds as well as fee-based managed accounts.

We believe in a holistic approach to financial planning that takes into account every facet of our clients’ lives: their purpose and goals, their lifestyle and wellness, and lastly, their financial resources. This means that the work you do not only helps your clients make smarter decisions in their financial lives, but it also helps them focus on the people and the passions in their lives that matter most to them.

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