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Deputy Chief Compliance Officer

Equitable Advisors is seeking a Deputy Chief Compliance Officer (DCCO) for Equitable Advisors within the National Compliance Office (NCO). This role will focus on the dynamic investment advisory business of Equitable Advisors, the focus of the firm's growth strategy. Reporting to Equitable's Advisors Chief Compliance Officer, the DCCO will assist in the development and oversight of Equitable Advisors' SEC and FINRA compliance programs related to its investment advisory and broker / dealer operations.

Responsibilities would include maintaining ongoing knowledge of regulation and industry best practices, developing policies and procedures, managing business risks through the development of the Compliance Program, conducting risk assessments, serving as a resource for compliance counsel and field management, providing oversight over regulatory inquiries and examinations, and conducting quarterly compliance oversight meetings with complex and executive management. Additionally, the DCCO will help prepare the 3120 / 3130 report to the Chairman of Equitable Advisors and the Board.

The total targeted compensation range for this position is $260,000 - $300,000. Total compensation varies based on skills, experience, geographical location, and other factors. For eligible employees, Equitable provides a full range of benefits including medical, dental, vision, a 401(k) plan, and paid time off.

Required qualifications include a bachelor's degree, FINRA Series 7 and 24, 10 years of compliance experience in the financial services industry, and substantive management experience. Preferred qualifications include demonstrated interpersonal skills, the ability to think creatively, and a professional, energetic, team-oriented personality.

Skills required include accuracy and attention to detail, effective communication, managing multiple priorities, knowledge of the regulatory environment in financial services, and risk and control self assessment.