Manager- Branch Controls

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

PRINCIPAL ACCOUNTABILITIES

  • Conduct branch supervisory activities and ensure a continued strong, proactive approach to supervision.
  • Implement Compliance policy & procedures in the branch monitor performance and escalate issues of concern to the Branch Manager.
  • Supervision of daily transactions, including ProSurv, surveillance inquiries, etc.
  • Transaction by transaction review to ensure investment implementation is suitable to the needs of the client.
  • Conduct annual registered representative and certain location exams
  • Maintain examination ready standards in branch location and prepare branch for examinations by internal examiners and external regulatory examiners.
  • Retention of required documents and materials related to sales, client transactions and communications, training, marketing/advertising, licensing and registration, et al.
  • Assist Branch Manager in providing appropriate training to staff and Financial Professionals on supervisory, compliance, risk matters and new industry issues.
  • Identification of opportunities to improve performance through branch/ FP training or process improvement
  • Handling general inquiries and “trouble shooting” from FP’s, advise FPs on compliance issues by resolving questions,providing operational processes and guidance on implementation of the same.
  • Interact with Headquarters on field supervisory activities including sales practices, transaction supervision and broker dealer surveillance.

 


  • Series 7, 24 Required
  • 2-4 years of Financial Service experience
  • Research and data gathering ability
  • Analytical skillsAbility to read and interpret documents
  • Strong organizational skills
  • Advanced problem solving skills
  • Excellent verbal and written communication skills
  • Ability to prioritize tasks
  • Ability to manage multiple projects
     

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.