Broker Dealer Chief Operating Officer

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

Lead a team of 15+ employees that are dedicated to supporting, monitoring and growing the AXA Advisors Brokerage and Advisory business. Responsible for $44 Billion in assets under management and $6.79 billion in sales as well as the day to day activities of the broker/dealer including overseeing operations, new business, and financial planning for 4,700 AXA Advisors financial professionals nationwide. Provides leadership, management and oversight of day to day (BAU) activities, projects and operations with our third party vendor. Sets overall direction with Broker Dealer President on the Broker Dealer goals and objectives and able to solve challenges on complex cases and concepts. Presents and discusses investment related material. Coach all levels of staff and oversee BAU actives. Lead multiple operating areas of the Broker Dealer.

 

Operations & New Business

  • Vendor management and oversight of outsourced brokerage and advisory operations
  • Responsible for principal review team that approves new business
  • Monitor SLAs and provide guidance and change management as needed

Financial Planning

  • Supervises all non-investment advisory analysis and investment advisory fee and non-fee based financial planning platforms and activities, along with assuring that plans produced meet AXA Advisors' standards and all regulatory requirements
  • Directly manages relationships with larger and/or more complex strategic partners. Work closely with all other functional areas such as Legal / Compliance, IT, Operations and Product.

Project Management

  • Able to set direction and manage multiple medium/large projects and direct the implementation of group or company initiatives. Involved in setting team/business unit priorities, goals and involved in overall direction of business unit
  • Work directly with internal and external partners to implement new technology and/or services
  • Suggest, review and implement enhancements to products, services and technology
  • Has broad understanding of project planning and execution methodologies


The successful candidate will have:

  •  Bachelor’s degree required
  • FINRA Series 7,24 and 66 (or 65 and 63)
  • Years of experience 10-15
  • Superior knowledge of investment and brokerage products
  • Excellent verbal and written communication skills
  • Ability to facilitate meeting of peers, enable discussion that leads to resolution and communicate results to management
  • Comfortable speaking with all levels of the organization, external vendors, and corporate partners
  • Ability to travel to branch offices, conferences and vendor sites as needed

 

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.

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.


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