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.
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