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Remote Advice Controls & Operations Manager ( 250000BV )

**Primary Location** : UNITED STATES-NY-Syracuse

**Other Locations** : UNITED STATES-Remote

**Organization** : Equitable

**Schedule** : Full-time

Description

At Equitable, our power is in our people.

We're individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential?

The Remote Advice Controls & Operations Manager will focus on the supervision of 75 Financial Professionals and support operational processes and activities for Field Programs, with specific emphasis on driving Advisor Assist program growth.

Responsible for compliance and supervision of the Financial Professionals on the Remote Advice team by ensuring sales practices, account documentation, and books and records comply with SEC, FINRA and state rules and insurance regulations. Create SharePoint site for all supervision activities and manage updates.

The manager will be goal oriented with a solutions-based mindset and possess critical thinking skills, while gaining exposure to Wealth Management operations and Equitable’s retail business.

This role reports to our Operations and Supervision Director and collaborates with AHCA, Compliance, Sales Managers and advisors to deliver on the needs of clients and advisors from supervision and operations perspective.

Key Responsibilities

Assists management team in identifying emerging client and advisor needs, industry trends, regulations and contributes to the operations and approach for addressing those needs

Supervision:

+ Partner with Branch Controls Manager to monitor and maintain various compliance surveillance reports

+ Supervise advertising, correspondence, outside business activities

+ Conduct Financial Professionals’ compliance audits

+ Ongoing Financial Professional compliance training

Operations:

+ Manage Advisor Assist Program renewals and partner with Advisor Assist sales manager to manage program sentiment

+ Create reports and tracking for Advisor Assist Client Retention Program

+ Document and share best practices and solutions to drive measurable outcomes

The base salary range for this position is $65,000 - $80,000. 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 (https://portal.equitable.com/appentry/EDoxRedirect?node\_id=A2023013000001)

Qualifications

Required Qualifications

+ 3 Years of Experience with FINRA Series 7 and Series 63 or Equivalent is Required

+ Ability to obtain FINRA Series 24 license within 90 days of hire

+ Thorough knowledge of life, annuity, investment products; including proprietary and non-proprietary, and investment products offered through LPL, Network as well as Salesforce and ClientWorks technology

+ Superior client relationship building skills and coaching capabilities

+ Experience managing customer relationships and/or client accounts and superior communication skills

+ Excellent verbal and written communication skills, ability to read and interpret documents/make recommendations from data, discuss investments with clients and advisors

Preferred Qualifications

+ Excellent interpersonal and communication skills

+ Strong analytical skills

+ Strong ability to work effectively in a variety of situations and respond to change in a positive manner

+ Ability to collaborate with business partners

+ Ability to manage multiple projects and initiatives

+ Ability to influence and work effectively with team

+ Excellent leadership, conflict resolution, people management and coaching skills

+ Ability to motivate a team and attain individual and team goals. Achievement oriented

Skills

**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.

**Knowledge of Organization:** Knowledge of the organization's vision, structure, culture, philosophy, operating principles, values, and code of ethics; ability to understand the value of aligning capabilities with business goals to support optimal performance.

**Managing Multiple Priorities:** Knowledge of effective self-management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, making effective judgments as to prioritizing and time allocation.

**Project Administration:** Knowledge of project administration best practices and ability to use organizational strategies, practices and tools for administering projects.

ABOUT EQUITABLE

At Equitable, we’re a team of over ten thousand strong; 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.

**

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] .

**Req ID:** 250000BV