To help ensure a continued strong and pro-active, approach to compliance, the Branch Controls Coordinator assists the Branch Manager and Branch compliance principals in compliance responsibilities. The Branch Controls Coordinator ensures that administrative responsibilities are met to prepare for audits and other critical compliance responsibilities.
• Provide administrative compliance support to the Branch Manager and Branch compliance principals
• Manage and coordinate the collection, processing, tracking, and filing of required forms from FPs
• Schedule FP Annual Compliance Audits, and provide necessary paperwork to reviewer ten business days prior to audit
• Ensure paperwork is timely forwarded for review to a branch compliance principal
• Once forms are signed, forward to FP within 24 hours, and appropriately scan/ file
• Implement Compliance procedures consistent with the current organizational structure
• Implement corrective actions as needed by the Branch Manager/BCM
• Work with staff and FPs to secure missing items
• Take responsibility for maintaining our paper and electronic files
• Monitor Annual FP Audit schedule
• Ensure local Compliance files are appropriately maintained
• Manage Compliance Course/Firm Element tracking, send reminders to FPs
• Assemble and maintain FP Compliance files
• Ensure all approved Replacement Acknowledgement Forms are secured in PaperClip with necessary documentation
• Ensure Transaction Acknowledgement Form letters are filed correctly
• Ensure PaperClip and Pinpoint Portal are kept up to date
• Miscellaneous Compliance related tasks
• Proactively identify issues and communicate them to BCM
Operational Support Duties:
• Provide support at reception desk
• Provide mail distribution support
• Input client checks into Pinpoint Portal and send them to service center ON TIME
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.