Senior Compliance Director

Location UNITED STATES, United States
Experience level Experienced Hire
Job details sector Legal and Compliance
Apply before Date not available
  • Serve as the central point of contact for FMG LLC for routine compliance matters including portfolio compliance for FMG LLC related activities and service providers (e.g., sub-advisers, sub-administrator).
  • Responsible for the oversight of Rule 38a-1 and Rule 206 (4)-7 compliance programs including the production and completion of the annual compliance assessment report.
  • Maintenance of FMG LLC compliance manuals and related procedures.
  • Supervise and train junior staff members
  • Assist Chief Compliance Officer with internal and external regulatory exams and audits.
  • Serve as backup for Chief Compliance Officer for key compliance related functions including conflict management, portfolio compliance and Board reporting.
  • Assist with the compliance responsibilities for limited purpose broker-dealer


The successful candidate will have:

  • 10 + years of Investment Company Act of 1940 and Investment Advisers Act of 1940 compliance experience, within investment management industry preferred
  • Experience with the supervision of compliance professionals, including the ability to train, mentor and manage staff
  • Requires a self-directed professional with strong initiative and organizational skills
  • Strong research, analytical and practical problem-solving skills
  • Effective verbal and written communication skills
  • Bachelor's degree

About AXA


We have been providing stability and reliability to our clients since 1859 to help them live their lives with confidence, to give them peace of mind, and enable them to realize their dreams for their loved ones and their legacy.

As an employer AXA is committed to creating an environment where everyone feels completely comfortable bringing their true selves to work every day. AXA US has been recognized and certified as a great place to work by the Great Place to Work Institute.

We provide our employees opportunities to move within our organization so they can grow their career and skills without ever having to leave AXA. Almost 40% of our open jobs are filled with current employees.

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

Would you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life? Here at AXA we strive to lead the transformation of our industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA - a leading global brand and one of the most innovative companies in our industry - onto even greater things.
In a fast-evolving world and with a presence in 64 countries, our 166,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 103 million customers.