Compliance Manager / Senior Legal Assistant

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

To provide assistance to Divisional Counsel on retail sales practice and compliance matters that include, but are not limited to, legal and web-based research, preparation of regulatory responses, review of outside business entities and activities, review and analysis of background information for prospective financial professionals including criminal and financial matters, and administration of the firm's disciplinary program. Frequent interaction with financial professionals, registered principals, branch personnel, other legal practice groups as well as home office personnel.


  • College degree and five or more years of paralegal experience
  • Knowledge of Word, Excel, PowerPoint
  • Must be detail-oriented, organized and able to prioritize among competing time-sensitive deadlines
  • Capable of working independently
  • Strong analytical, written and verbal communication and interpersonal skills are critical  



  • Financial services background preferred but not required; candidate must be willing to learn new substantive areas of broker - dealer and insurance regulation. 

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.

AXA is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of the nation’s premier providers of life insurance and annuity products. The organization was established in 1859 and we are committed now more than ever to helping clients meet financial goals in all stages of their lives. One of the hallmarks of our proud heritage is providing world-class customer service.

We're always looking for smart and talented people to help us develop new and innovative ways to expand our product portfolio, reach new customers and serve well the clients already a part of the AXA family.