Posted Aug 20, 2026

Regional Controls Manager, Wealth Management

Apply Now
%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:20px;%22%3E%3Cstrong%3EAbout the Role%3C/strong%3E%3C/span%3E%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%26nbsp;%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22background-color:white;color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3E%3Cspan style=%22mso-bidi-language:EN-US;%22%3EAt Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives- a mission%26nbsp;we’ve%26nbsp;honed since 1859. %26nbsp;%3C/span%3E%3C/span%3E%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%26nbsp;%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22background-color:white;color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EEquitable is looking for a %3Cstrong%3ERegional Controls Manager (RCM)%3C/strong%3E to join our branch compliance team.%3Cspan style=%22mso-spacerun:yes;%22%3E%26nbsp; %3C/span%3EReporting in to the Lead Regional Controls Manager / Central Supervision Unit, you will take the lead on assessing, quantifying, testing and implementing controls to ensure compliance with internal business process rules and external regulations.%26nbsp;%3Cspan style=%22mso-spacerun:yes;%22%3E %3C/span%3EThe %3Cstrong%3ERCM%3C/strong%3E is responsible for providing compliance support to Equitable’ s branch locations both regionally and locally, including IL, PA, VA, D.C., MD, NC and SC.%3Cspan style=%22mso-spacerun:yes;%22%3E%26nbsp;%3C/span%3E%3C/span%3E%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%26nbsp;%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22background-color:white;color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3E%3Cspan style=%22mso-color-alt:windowtext;%22%3EThis position offers a %3Cstrong%3Eremote%26nbsp;work%3C/strong%3E arrangement plus %3Cstrong%3Eup to 30% travel%3C/strong%3E as required for onsite branch examinations based on business needs.%26nbsp;%3C/span%3E%3C/span%3E%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%26nbsp;%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:20px;%22%3E%3Cstrong%3EWhat You’ll Be Doing%3C/strong%3E%3C/span%3E%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%26nbsp;%3C/p%3E%3Cp class=%22MsoNormal%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3E%3Cstrong%3EDuties and Responsibilities%3C/strong%3E%3C/span%3E%3C/p%3E%3Cul%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EConduct risk-based periodic and for-cause examinations of Non-Supervisory Branch Offices (NSBOs) and Non-Branch Locations in accordance with FINRA Rule 3110, firm supervisory procedures, and regulatory requirements.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EPerform onsite and remote examinations utilizing approved technologies to assess compliance with SEC, FINRA, and firm policies, and evaluate the effectiveness of operational and supervisory controls.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EExecute annual supervisory reviews of financial professionals, including assessment of customer account documentation, books and records, Annual Compliance Questionnaires, Outside Business Activities (OBAs), Doing Business As (DBAs), Forms U4, BR, and ADV Part 2B, advertising and communications, electronic communications, information protection practices, and social media activity.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EPrepare examination workpapers and reports that document findings, risk assessments, and corrective action recommendations; monitor and validate remediation efforts through completion.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EMaintain examination records in accordance with regulatory recordkeeping requirements.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EPartner with Compliance, Legal, Risk Management, Operations, and supervisory personnel to address findings, provide regulatory guidance, and support continuous improvement of examination programs and testing methodologies.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EConduct reviews of Financial Professional social media profiles, including LinkedIn, Facebook, and Instagram, to ensure compliance with applicable regulatory and firm requirements.%3C/span%3E%3C/p%3E%3C/li%3E%3C/ul%3E%3Cp class=%22MsoNoSpacing%22%3E%26nbsp;%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3E%3Cstrong%3EDocumentation %26amp; Reporting%3C/strong%3E%3C/span%3E%3C/p%3E%3Cul%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EPrepare comprehensive examination workpapers and supporting documentation.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EDraft examination reports detailing findings, observations, risk ratings, and corrective action recommendations.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3ETrack remediation efforts and validate completion of corrective actions.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EMaintain examination records in accordance with regulatory retention requirements.%3C/span%3E%3C/p%3E%3C/li%3E%3C/ul%3E%3Cp class=%22MsoNormal%22 style=%22mso-margin-bottom-alt:auto;mso-margin-top-alt:auto;%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3E%3Cspan style=%22mso-fareast-font-family:%26quot;Times New Roman%26quot;;%22%3E%3Cstrong%3E%26nbsp;%3C/strong%3E%3C/span%3E%3C/span%3E%3C/p%3E%3Cp class=%22MsoNormal%22 style=%22mso-margin-bottom-alt:auto;mso-margin-top-alt:auto;%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3E%3Cspan style=%22mso-bidi-font-size:10.0pt;mso-fareast-font-family:%26quot;Times New Roman%26quot;;%22%3E%3Cstrong%3ECollaboration%3C/strong%3E%3C/span%3E%3C/span%3E%3C/p%3E%3Cul%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EPartner with Compliance, Legal, Risk Management, Operations, and Supervisory personnel to address examination findings.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EProvide regulatory guidance and compliance education to field personnel.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3ESupport the development and enhancement of examination methodologies and testing procedures.%3C/span%3E%3C/p%3E%3C/li%3E%3C/ul%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22background-color:white;color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3E%26nbsp;%3C/span%3E%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3E%3Cstrong%3ECore Competencies%3C/strong%3E%3C/span%3E%3C/p%3E%3Cul%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3ERegulatory Compliance %26amp; Risk Assessment%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EExamination %26amp; Audit Execution%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EAnalytical %26amp; Critical Thinking%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3ECommunication %26amp; Relationship Management%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EProfessional Judgment %26amp; Integrity%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EOrganization %26amp; Time Management%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EContinuous Improvement%3C/span%3E%3C/p%3E%3C/li%3E%3C/ul%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3E%26nbsp;%3C/span%3E%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3E%3Cstrong%3ESuccess Measures%3C/strong%3E%3C/span%3E%3C/p%3E%3Cul%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3ETimely completion of assigned examinations.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EQuality and accuracy of examination reports.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EEffective identification and escalation of compliance risks.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3ESuccessful remediation and closure of examination findings.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EAdherence to regulatory and internal examination standards.%3C/span%3E%3C/p%3E%3C/li%3E%3Cli%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EPositive results during regulatory reviews and audits.%3C/span%3E%3C/p%3E%3C/li%3E%3C/ul%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cbr%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EThe base salary range for this position is%26nbsp;%3Cstrong%3E%2480,000 - %2490,000%3C/strong%3E. 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%26nbsp;level%26nbsp;and functional area of responsibility. %26nbsp;%3C/span%3E%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EFor eligible employees, Equitable%26nbsp;provides%26nbsp;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%26nbsp;reference%26nbsp;the link below.%26nbsp;%3C/span%3E%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3E%3Cspan style=%22mso-bidi-language:EN-US;%22%3E%3Cstrong%3EEquitable Pay and Benefits%3C/strong%3E:%26nbsp;%3C/span%3E%3Cspan class=%22ui-provider%22%3E %3C/span%3E%3C/span%3E%3Ca href=%22https://portal.equitable.com/appentry/EDoxRedirect?node_id=A2023013000001%22 target=%22_blank%22 title=%22https://portal.equitable.com/appentry/edoxredirect?node_id=a2023013000001%22%3E%3Cspan style=%22color:black;font-family:Arial, Helvetica, sans-serif;font-size:16px;%22%3EEquitable Total Rewards Program%3C/span%3E%3C/a%3E%3C/p%3E%3Cp class=%22MsoNoSpacing%22%3E%26nbsp;%3C/p%3E

What You Will Bring

 

Required Qualifications

 

Preferred Qualifications

 

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.

 

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.

Risk Management: Knowledge of processes, tools and techniques for assessing and controlling an organization's exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.

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 TalentAcquisition@equitable.com. 

 



Job Details
Primary Location: UNITED STATES-Remote
Other Locations: UNITED STATES-NC, UNITED STATES-VA, UNITED STATES-MD, UNITED STATES-DC-Washington, UNITED STATES-IL, UNITED STATES-SC, UNITED STATES-PA
Organization: Equitable
Schedule: Full-time

Bachelor’s degree or equivalent experience, active FINRA Series 7 and 24, 5+ years in financial services, product knowledge, and compliance examination experience.

Key Responsibilities

Skills & Tools

Microsoft Office Suite, Pinpoint, Proofpoint, SRS Suitability Review System, RegEd AuditTrax, FINRA Gateway, LinkedIn, Facebook, Instagram

Job Details

Benefits

About Equitable

A financial services company helping clients secure their financial well-being. — Industry: Finance

 
Apply Now

More Technology Jobs

Foreclosure Attorney - New Mexico - 0330Aug 20, 2026Product TesterOct 20, 2026Senior Developer (.NET + React)Oct 23, 2026AI/ML Document Processing Developer, RemoteSep 22, 2026Desarrollador BackEnd (Remoto)(Exp en Banca) K526Jun 17, 2026National Aquaculture and Recirculating Aquaculture Systems (RAS) SpecialistAug 20, 2026Regional Vice President RIA Annuities (REMOTE+TRAVEL)Aug 20, 2026Territory Account ManagerApr 1, 2026Banana Value Chain Specialist (Decent Work and Occupational Health & Safety)Aug 20, 2026GHG Accounting SpecialistAug 20, 2026Patient Customer Service Rep IIAug 20, 2026Sales Operations Associate (Located in Khobar, Kingdom of Saudi Arabia)Aug 20, 2026Clinical Literature CuratorAug 20, 2026Virtual Special Education Teacher-Grades 7-12, K-12 Mild Disabilities Licensing - Indiana StatewideAug 24, 2026[Remote] Digital Media AdvisorSep 22, 2026