Complex Compliance Coordinator

Company: Equitable
Location: Falls Church
Posted on: June 26, 2022

Job 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?

Responsibilities include but not limited to:
Provide administrative support to the Complex Controls Director and BCMs within the Complex footprint
Assist with FP notifications based on various reports received from CSU and the firms BD
Manage and coordinate the collection, processing, tracking, and filing of required forms from Associates
Prepare/request needed reports for managers/principals to perform Associate and office audits/reviews
Effectuates and maintains branch office books & records requirement
Process Form BR Amendments approved through Pinpoint (OBAs, DBAs, Websites)
Review and approve FP Equitable Advisor Business Card and Stationary Orders within Converge and ARIBA
U4 Disclosure (DRP) Amendments - notification to FPs and follow up with AHCA


This role is required to be in officeAccuracy 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.

Customer Interaction: Knowledge of the principles and techniques of communicating with a customer; ability to utilize tools and techniques for customer interaction.

Customer Service Management: Knowledge of customer service priorities and ability to utilize tools and techniques for maintaining an environment where all understand, and are committed to providing excellent service to internal and external customers.

Data Entry Management: Knowledge of data entry management; ability to manage data entry and report the results during daily work.

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.

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

Diversity, Equity and Inclusion: Demonstrates a commitment to Diversity, Equity and Inclusion by treating everyone with respect and dignity, ensuring all voices are heard and advocating for change.

Additional Qualifications
College Degree preferred
3 years experience in compliance
Background in financial services is a plus



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 TalentAcquisition@equitable.com .

#LI-EQH1

Keywords: Equitable, Washington DC , Complex Compliance Coordinator, Other , Falls Church, DC