Compliance and Controls Lead Associate (HYBRID)

Equitable is a company dedicated to helping clients secure their financial well-being. The Compliance & Controls Lead Associate plays a key role in ensuring compliance with regulatory, audit, and internal control requirements while supporting operational teams and coordinating documentation and audit activities.

Responsibilities

• Support operational areas by identifying audit and regulatory requirements and coordinating compliance activities
• Gather, prepare, and organize documentation across multiple teams
• Facilitate walkthroughs and communicate effectively with auditors and examiners
• Coordinate audit activities from scoping and planning through remediation
• Track responses, remediation efforts, and management sign-offs
• Adjust priorities and workflows to meet evolving business needs
• Coach, develop, and support team members, fostering collaboration and shared success
• Independently address complex or sensitive issues with appropriate guidance and escalation when needed

Skills

• Bachelor's degree preferred, but not required
• Approximately 1+ years of experience in a fast-paced financial services or regulated environment preferred
• Ability to quickly learn product features, systems, and transaction processes
• Ability to create or update procedures and documentation as needed
• Extremely self motivated and eager to learn
• Knowledge of technologies, techniques and practices for the evaluation of business performance data; ability to analyze business performance using advanced statistical methods to predict trends and providing forecasts that drive business decisions and business planning
• Knowledge of tools, techniques and processes for gathering and reporting data; ability to practice them in a particular department or division of a company
• Knowledge of objectives, terminologies, and approaches of data integrity; ability to ensure the accuracy and consistency of data in various business environments
• Knowledge of document management; ability to categorize, integrate, update, document and distribute business information in a secure, effective way
• 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 concept, methods, and processes of internal control; ability to create, implement, evaluate and enhance processes in internal controls
• 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
• Knowledge of the concepts of process mapping; ability to carry out the documentation of current and proposed manufacturing processes to identify and make improvements
• Knowledge of project administration best practices and ability to use organizational strategies, practices and tools for administering projects

Benefits

• Medical
• Dental
• Vision
• 401(k) plan
• Paid time off

Company Overview