Associate - Compliance Examiner (Charlotte, NC or Syracuse, NY)

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

Reporting to the Director of the Non Field OSJ Exam Team. This individual will be responsible for:
• Assist in conducting Non Field OSJ Exams and drafting reports with recommendations and enhancements to senior business management
• Assist in the management and review of the Non Field OSJ Exam database
• Assist in the review and follow up on all outstanding corrective action items referenced in exam reports
• Ongoing responsibility to update and maintain multiple metric reports communicated to the CCO of AXA Advisors and Executive Management
• Assist in the development and implementation of examination protocols for AXA Advisors' FINRA registered non field OSJ locations, service centers, and broker dealer
• Assist in maintaining AXA Advisors Written Supervisory Procedures
• Assist in the review and update of Non Field OSJ Exam Team Guide and Standard Operating Procedures
• Provide timely, accurate and professional support to National Compliance Office on FINRA, SEC and State examinations


• Ideal candidate will possess FINRA Series 7 license or have a willingness to obtain within 180 days
• A bachelor's degree, or equivalent, is necessary and 1 + years Compliance experience is preferred.
• Candidate should have strong knowledge of variable products and FINRA Rules and regulations that apply.
• Knowledge of brokerage operational processing is preferred. 
• Must have strong  Excel, Microsoft Office and Access knowledge
• Strong written/verbal communication skills and investigative/analytical/problem resolution skills required.
• Strong Project Management Skills
• Works effectively with management, regulators
• Possess strong analytical, administrative and communication skills and can meet internal and external deadlines.
• 10% traveling is required.


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.

 

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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.