Complex Compliance Coordinator
Company: Equitable
Location: Falls Church
Posted on: June 26, 2022
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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.
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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
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