Top 4 Senior compliance manager Jobs in Stamford Ct

Branch Compliance Senior Manager (Melville, NY - HYBRID)
Equitable —Melville, NY
- $102,000 - $120,000 a year
- Email
- Hybrid work
- 6 years
- Management
- Office
- Health insurance
- Dental insurance
Senior Associate, Agency Standards Compliance Manager
New York Life —Melville, NY
- $81,000 - $115,000 a year
- Full-time
- Background check
- Mid-level
- Office
- Health savings account
- Health insurance
Quick Apply
Senior Manager Legal Data Privacy Operations
Regeneron —Sleepy Hollow, NY
- $134,400 - $219,200 a year
- Office
- 8 years
- Bachelor's degree
- Health insurance
- Dental insurance

Related jobs to explore

Based on your search for senior compliance manager

Supervisor - Compliance Manager
NuEnergen, LLC —White Plains, NY
Candidate must hold a degree in environmental, chemical, or mechanical engineering, or a related engineering field, and be able to provide their own…
$90,000 - $110,000 a year
Quick Apply
Manager, Safety & Training
Medical Transportation Management (MTM, Inc.) —White Plains, NY
Bachelor’s Degree (or equivalent combination of education and experience) in a related field. Successfully complete all related audits including those conducted…
$72,000 - $108,000 a year
Quick Apply

Show more related jobs

Explore jobs in cities nearby

Check out jobs in cities near your current location, Columbus

Senior Project Manager( Procurement Grants & Loans Compliance Lead )
Strategic Staffing Solutions —Columbus, OH
This role provides strategic oversight and governance to ensure procurement activities remain compliant with funding requirements and protects the company’s…
Quick Apply
21h
Senior Manager, Compliance
ATS Automation Tooling Systems Inc. —Lewis Center, OH
Direct experience supporting nuclear or other highly regulated industrial environments, including export-controlled technical data, licensing and authorization…

Show more jobs in cities nearby

I want to receive the latest job alert for senior compliance manager in stamford ct

By signing in to your account, you agree to SimplyHired's Terms of Service and consent to our Cookie and Privacy Policy.

Explore jobs in more locations

senior compliance manager jobs near stamford ct

Branch Compliance Senior Manager (Melville, NY - HYBRID)

Equitable -
Melville, NY

Apply Now

Job Details

Full-time
$102,000 - $120,000 a year

Benefits

Internal mobility program
Health insurance
Dental insurance
Paid time off
Vision insurance

Qualifications

Management
Supervising experience
Annuities
FINRA License

Full Job Description

Branch Compliance Senior Manager (Melville, NY - HYBRID)

(260000AT)

Primary Location : UNITED STATES-NY-Melville

Organization : Equitable

Schedule : Full-time

About the Role

At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives- a mission we’ve honed since 1859.

Equitable is looking for a dynamic Branch Compliance Senior Manager to join our Branch Compliance team! Our Greater NY-CT Complex is seeking a highly-motivated Compliance professional with the ability to work independently to join our Long Island Branch Controls team. This is a vital role supporting ~700 Financial Advisors that reports up to the branch’s Chief of Controls.

What You’ll Be Doing

Provide compliance support to Complex Controls Chief for the Greater New York Complex
Review and investigate actions that trigger flags in various review systems
Conduct annual financial advisor compliance interviews/audits, including inspection of business practices and registered location
Assist in training, education of financial advisors
Prepare for regulatory and internal audits

This position offers a hybrid work schedule, with an on–site presence of 2–3 days per week combining flexibility with team collaboration.

The base salary range for this position is $102,000 - $120,000. 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

What You Will Bring

Required Qualifications:

Bachelors degree OR 10+ years of work experience
6+ years of experience working as a compliance professional with experience in supervising Financial Advisor activities
Experience and knowledge of Insurance, Annuities, Brokerage/Advisory, Alternatives, etc. products
FINRA Series 7 and 66 OR FINRA 63/65
FINRA Series 24 registration

Preferred Qualifications:

Ability to function independently with proactive decision-making skills
Successful collaborator with exceptional communication skills
Proven success in leading, assessing, quantifying, testing and implementing controls to ensure compliance with internal business process rules and external regulations for an organization

Skills

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

Audit 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 environment.

Customer Focus: Knowledge of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and ability to leverage that information in creating customized customer solutions.

Effective Communications: Understanding of effective communication concepts, tools and techniques; ability to effectively transmit, receive, and accurately interpret ideas, information, and needs through the application of appropriate communication behaviors.

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.

Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities.

About Equitable

At Equitable, we’re a team 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. Click Careers at Equitable to learn more.

**********

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 [email protected].

Apply Now

Refine Your Search

senior compliance manager jobs in stamford ct

Branch Compliance Senior Manager (Melville, NY - HYBRID)

Senior Associate, Agency Standards Compliance Manager

Senior Manager Legal Data Privacy Operations

Related jobs to explore

Explore jobs in cities nearby

I want to receive the latest job alert for senior compliance manager in stamford ct

Explore jobs in more locations

Job Seeker Tools

Employer Tools

Browse

Stay Connected