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. Updates OBAs, U4s and utilizes WEB CRD and other FINRA systems as necessary.
FINRA Series 7 and 24 Required, would entertain obtaining the 24 after hire.
3-5 years of Financial Services/Compliance experience
2 years Associate degree or higher
Detail oriented and organized
Able to prioritize workflow and good communication skills
53 or 51 and 63 and 65 or 66 may be obtained within 180 days of hire
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.