Branch Controls (Compliance) Specialist (Lead Associate)

Location Maryland, United States
Experience level Experienced Hire
Job details sector Legal and Compliance
Apply before Permanent offer

The Branch Controls Specialist assists the Branch Controls Manager with compliance-related duities within the branch and district. 

Specific responsibilities include:

  • Performing routine daily functions and transactions, such as review and investigation of actions that trigger flags in various review systems, and overseeing compliance-related issues, new policies, procedures, and regulatory guidelines as promulgated.
  • 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.
  • Managing review of marketing materials.
  • Updating OBAs, U4s and utilizes WEB CRD and other FINRA systems as necessary.
  • Responsible for social media review.



FINRA Series 7 required for consideration.  

2-year/Associate degree or higher. 


Series 24 highly preferred; must be obtained within 90 days of hire if not already held

Series 66 (or 63+65) within 90 days of hire and series 53 may be obtained within 180 days of hire

1+ year's direct compliance experience

Detail oriented and organized.  Able to prioritize workflow and good communication skills.

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.