New Business Review Principal

Location NORTH CAROLINA, United States
Experience level Experienced Hire
Job details sector Legal and Compliance
Apply before Date not available
  • Individual will be part of a centralized team responsible for reviewing all investment new business, including brokerage, advisory, and alternative investments.
  • Candidate shall have excellent communication skills and the ability to work well under pressure. 
  • Responsibilities for this position shall include but are not limited to: new account reviews, alternative investment reviews, options reviews, structured product reviews, discretion reviews, and handling inbound calls. 
  • Strong AML experience and expertise is required for the enterprise wide implementation of the FinCENs new customer due diligence rule.  
  • Previous experience covering Broker Dealer business in an AML capacity is strongly preferred. 

  • Series 7, 24 REQUIRED
  • 51/53, 63/(65 or 66) required with clean U-4 (Series 4 preferred).  Strong working knowledge of the regulatory environment.  Strong analytical aptitude and excellent communication skills. Must be able to understand client's expectations and work effectively as a team member. Basic knowledge of the functions and workflow in the supported business area. Experience with Microsoft Word and Excel required. Strong knowledge of USA Patriot Act/Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) regulatory requirements required, including comprehensive understanding of OFAC sanctions and CDD/KYC requirements.
  • 3-5 years of AML/Principal Approval experience
  • Bachelor's Degree preferred
  • 4 years of BSA/AML Compliance experience in the financial services industry.
  • Good organizational, verbal, written, and interpersonal skills are required.
  • Must be able to multi-task, adapt well to changing priorities, and effectively prioritize workflow to meet critical deadlines.
  • Ability to work in a fast-paced, demanding, and changing environment; must work well under pressure.
  • Strong analytical, problem solving and organizational skills.
  • Able to work effectively with management
  • Relevant Professional Certification (Association of Certified Anti-Money Laundering Specialists (ACAMS), Associate of Certified Fraud Examiners (ACFE) or Association of Certified Financial Crime Specialists (ACFCS) is a plus.

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.