• Candidate will be responsible for making specified regulatory reporting filings to FINRA, state securities departments, SEC, etc. on behalf of AXA Advisors, LLC.
• Review, discuss, and resolve matters involving our Registered Representatives with Regulators, field supervisors, and fellow compliance associates as needed;
• Review customer sales complaints, litigations and arbitrations and the resolution of those matters for reporting requirements (e.g., Form U4/U5/4530);
• Prepare various compliance reports for distribution to management and field personnel;
• Review and enter data in FINRA's WebCRD system relating to Registered Representative's Form U4/U5;
• Responsible for the quarterly 4530 statistical submission to FINRA;
• Review securities regulations/websites to stay abreast of ongoing industry changes.
• Responsible for responding to regulatory inquiries received from FINRA and various Insurance and Securities departments;
• Responsible for maintaining the AXA Advisors Compliance Manual.
• A minimum of 2-3 years of experience in financial services is required.
• Candidate must possess strong leadership skills and is a self-starter
• Proven track record as compliance professional and strong analytical, technology and interpersonal skills are required.
• Knowledge of insurance, brokerage and investment advisory products is preferred.
• Excellent written and verbal communication and presentation skills.
• Proficient skills in Microsoft Office applications, particularly Word and Excel.
• Candidate should be able to work independently on a multitude of projects and ensure that both internal and external deadlines are met.
• Attention to detail and working as part of a team is vital.
• A Bachelor's degree is required.
• Series 7 license preferred or be willing to take the exam within 90 days.
• Project management experience a plus
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.