Equitable Advisors Compliance Examiner (HYBRID)

Join Equitable's Compliance team as a Compliance Examiner to conduct Non-Field OSJ Exams and draft reports. This hybrid role requires 2-3 days of on-site presence per week in Charlotte, NC or Syracuse, NY. The position offers a base salary range of $75,000 - $85,000 and a range of benefits.

Requirements

• FINRA Series 7 license or willingness to obtain within 180 days
• Bachelor's degree or equivalent
• 2+ years Compliance experience preferred
• Knowledge of life, annuity, investment advisory products and FINRA/SEC Rules and Regulations
• Knowledge of brokerage and advisory operations processing preferred
• Strong Excel, Microsoft Office, and Access knowledge
• Basic understanding of AI concepts
• Strong analytical, administrative and communication skills

Benefits

• Medical, dental, vision
• 401(k) plan
• Paid time off