Senior Director and Counsel

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

Looking for Senior Counsel whose duties include:

  • Provide general advice on issues pertaining to SEC and FINRA rules and regulations applicable to investment advisers and broker-dealers with emphasis on the Investment Advisers Act of 1940, the Securities Exchange Act of 1934 and FINRA rules.
  • Work with Chief Compliance Officer on regulatory required annual reporting for FINRA  broker dealer compliance programs (3120 and 3130) and Investment Advisors Act (Rule 206 (4)-7
  • Provide legal and compliance guidance regarding business initiatives; guidance on compliance training and communications to the field and business units
  • Provide assistance and legal support to both Corporate and Retail management on supervisory and compliance issues; negotiate contracts with financial product providers, including selling agreements, revenue sharing contracts
  • Monitor new laws and regulatory activity and assess impact to supervisory and compliance policies and procedures
  • Monitor and maintain updates to Compliance Manual and Investment Advisory Compliance Guide
  • Respond to securities and insurance department regulatory inquiries; review due diligence submissions by business units regarding new products, especially alternative investments work.

 


 


  • Bachelor’s degree and JD
  • Knowledge of alternative investments, ERISA plans and financial planning
  • Excellent written and verbal communication skills
  • Outstanding interpersonal skills
  • Demonstrated initiative; self-starter
  • Strong leadership
  • Excellent project management skills, including the ability and willingness to take charge of various projects, pull the right people in for assistance and drive the matter to successful conclusion in a timely matter.

 

 


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.

 

 

Department Description

Headed by the Chief Compliance Officer of AXA Advisors, this group supports the retail broker/dealer and performs the required regulatory oversight of its operations and products sold through the retail distribution channel. The primary practice groups are:

 

Compliance Surveillance Group - Responsible for conducting oversight review of AXA Advisors transactional and cross product activity, such as suitability, mutual fund share classes, excessive trading activity, unauthorized trading, switching and other potential sales practice violations.

Regulatory, Products and Broker/Dealer Compliance Group - Responsible for managing all regulatory exams and significant regulatory inquiries involving AXA Advisors and conducting broker/dealer internal operations compliance audits. Conducts annual inspections for non-field Offices of Supervisory Jurisdictions of AXA Advisors, monitors outside securities transactions.

Advisory Products and Operations Group - Provides legal advice and support regarding investment advisory and broker/dealer operations, new product launches and distribution activities, corporate strategic initiatives and supports Financial Planning Center.

Regulatory Reporting Group - Facilitates the firm’s compliance with regulatory filing requirements for financial professionals and broker/dealers, including form BD and Form ADV, FINRA 4530 filings, Form U-4 and U-5 amendments to reflect customer complaints, disciplinary matters and other reportable activities.