Provides support to branch controls manager (Sr. or Lead Manager) and assists with the supervision responsibilities of the Branch Manager. Performs routine transactions, such as review and investigation of actions that trigger flags in various review systems. Conducts annual financial advisor compliance interviews/audits, including inspection of business practices and physical location. Assists in branch training, education and tracking of financial advisors. Manages all required record retention.
Series 7 REQUIRED, Series 24 strongly preferred (if you do not have the series 24, must be able to obtain within 90 days after hire.)
2+ years of financial services experience
2+ years of compliance experience
Research and data gathering ability
Intermediate problems solving skills, analytical skills
Ability to read and interpret documents
Basic negotiation skills
Strong organizational skills
Excellent verbal and written communication skills
Ability to prioritize tasks
Ability to manage multiple projects
Excellent proofreading ability
Series 51, 63/65 and 66 preferred
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.