Manager, Market Conduct Investigations

Equitable

19 days ago

Waterloo, ON

Hybrid

Full Time

Senior

0 applicants

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About this role

The Manager, Market Conduct Investigations at Equitable leads the development and execution of the company's advisor monitoring and investigation program, overseeing complex investigations, regulatory reporting, and industry engagement. They guide a team of investigators, influence compliance practices, and strengthen governance related to distributor conduct and regulatory expectations.

Skills

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About Equitable

equitable.com

Equitable is a U.S. financial services company that provides life insurance, annuities, retirement solutions, and workplace benefits for individuals, employers, and financial professionals. It distributes products and advisory services through a network of financial professionals and digital channels, offering planning tools, account support, and resources for retirement readiness. Equitable emphasizes long-term financial security by combining insurance protection, investment solutions, and personalized guidance, reflecting its legacy of helping people look forward with courage, strength, and wisdom.