Lead Manager ADL Compliance- Individual Annuity

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

The role provides compliance support and guidance related to FINRA, SEC and State Securities and Insurance laws, rule and regulations to the Individual Annuity Division of AXA Distributors.  In addition to specific support of the Individual Annuity channel, the role includes support of compliance functions for all channels of AXA Distributors (Individual Annuity, Retirement Plan Services and Life)  specifically providing guidance on cash / non-cash compensation, outside business activities, pre-hire reviews as well as oversight and monitoring of:  e-mail surveillance, AXA Distributors Social Media program, development and administration of Firm Element program, FINRA Rule 3120/3130 testing, delivery of Annual Compliance Meetings and other miscellaneous Ad-Hoc compliance matters such as coordination of FINRA and Market Conduct Examination requests. 

The position requires: 5 plus years' experience in a compliance role preferably with an insurance company affiliated broker/dealer working in the Individual Annuity business.  The candidate should have a strong working knowledge of FINRA, SEC and State Securities and Insurance Department rules and regulations and be able to practically apply these rules in a business environment.  The candidate should have specific working and practical knowledge of FINRA and SEC rules related to cash / non-cash compensation, outside business activities, e-mail surveillance and social media regulatory requirements, and experience in conducing auditing and testing. 
The candidate should have the skills to work with the business and assist them in understanding these various rules and regulations and provide practical advice.  The candidate should also have strong interpersonal and presentation skills, have a working knowledge of Microsoft Word, Excel, and FINRA's CRD and Gateway system and be able to coordinate and cover multiple tasks simultaneously.   Series 6 or 7 and 26 or 24 required.  Applicant's without the Series 26 or 24 will be considered but must qualify by examination within 90 days of hire.  

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.

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.