Compliance Associate

Location NY, United States
Experience level Experienced Hire
Job details sector Legal and Compliance
Apply before Date not available

Reporting to the Director of the Non Field OSJ Exam Team. This individual will be responsible for:
• Assist in conducting Non Field OSJ Exams and drafting reports with recommendations and enhancements to senior business management
• Assist in the management and review of the Non Field OSJ Exam database
• Assist in the review and follow up on all outstanding corrective action items referenced in exam reports
• Ongoing responsibility to update and maintain multiple metric reports communicated to the CCO of AXA Advisors and Executive Management
• Assist in the development and implementation of examination protocols for AXA Advisors' FINRA registered non field OSJ locations, service centers, and broker dealer
• Assist in maintaining AXA Advisors Written Supervisory Procedures
• Assist in the review and update of Non Field OSJ Exam Team Guide and Standard Operating Procedures
• Provide timely, accurate and professional support to National Compliance Office on FINRA, SEC and State examinations


• Ideal candidate will possess FINRA Series 7 license or have a willingness to obtain within 180 days
• A bachelor's degree, or equivalent, is necessary and 1 + years Compliance experience is preferred.
• Candidate should have strong knowledge of variable products and FINRA Rules and regulations that apply.
• Knowledge of brokerage operational processing is preferred.
• Must have strong Excel, Microsoft Office and Access knowledge
• Strong written/verbal communication skills and investigative/analytical/problem resolution skills required.
• Strong Project Management Skills
• Works effectively with management, regulators
• Possess strong analytical, administrative and communication skills and can meet internal and external deadlines.
• 10% traveling is required.




We have been providing stability and reliability to our clients since 1859 to help them live their lives with confidence, to give them peace of mind, and enable them to realize their dreams for their loved ones and their legacy.

As an employer AXA is committed to creating an environment where everyone feels completely comfortable bringing their true selves to work every day. AXA US has been recognized and certified as a great place to work by the Great Place to Work Institute.

We provide our employees opportunities to move within our organization so they can grow their career and skills without ever having to leave AXA. Almost 40% of our open jobs are filled with current employees.
NOTE: AXA participates in the E-Verify program.

In addition to competitive compensation and an outstanding benefits package including 401 (k) and medical programs, we offer the opportunity for continued professional development in a congenial corporate environment.

AXA 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.


Would you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life? Here at AXA we strive to lead the transformation of our industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA - a leading global brand and one of the most innovative companies in our industry - onto even greater things.
In a fast-evolving world and with a presence in 64 countries, our 166,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 103 million customers.