Branch Compliance Manager

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

Primary supervisory delegate of the Branch Sales Manager for all compliance-related functions and issues. 

  • Role responsibilities include:
    • Managing record retention
    • Ensuring education and tracking
    • Coordinating annual compliance meetings
    • Daily transaction reviews and tracking required Firm courses/regulatory requirements. 
    • Conducts annual financial advisor compliance interviews/audits as regulatory-required. 
    • Includes inspection of business practices and physical locations. 
    • Creates written supervisory plans for complex or exception-based sales practices.

  • Series 7 REQUIRED and 24 strongly preferred.  Must be able to pass 24 within 90 days of hire. 51,63/65 and 66 may also be required after hire
  • 3-5 years experience in Compliance
  • Financial Service industry a plus
  • Billingual strongly preferred (English and Spanish)
  • People Management experience 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.