Assisting Branch Controls Manager in performing routine transactions, such as review and investigation of actions that trigger flags in various review systems.
Conducting annual financial advisor compliance interviews/audits, including inspection of business practices and physical location.
Assisting in branch training, education and tracking of financial advisors.
Managing all required record retention.
Updating OBAs, U4s and utilizes WEB CRD and other FINRA systems as necessary.
FINRA Series 7 required for consideration
Series 66 (or 63+65) and series 24 preferred; required within 90 days of hire if not already possessed
Series 53 may be obtained within 180 days of hire
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.