Sorry, this job is no longer accepting applications. See below for more jobs that match what you’re looking for!

Regulatory Reporting Analyst

Expired Job

AXA Raleigh , NC 27611

Posted 3 months ago

General Description:

  • 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.

Skills:

  • 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.

"


See if you are a match!

See how well your resume matches up to this job - upload your resume now.

Find your dream job anywhere
with the LiveCareer app.
Download the
LiveCareer app and find
your dream job anywhere
lc_ad

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Senior Financial Reporting Analyst

A Wireless

Posted 2 weeks ago

VIEW JOBS 10/31/2018 12:00:00 AM 2019-01-29T00:00 Full-time Are you someone with a proven track record of being a strategic business partner who happens to specialize in Accounting? Someone who has a high level of critical thinking and self-motivation coupled with the love of organization within an accounting setting? Victra is the leading exclusive, premium retailer for Verizon with a mission of connecting technology to life in the most trusting and profitable way. The Senior Financial Reporting Analyst position is responsible for serving as a team leader in the finance department. This position will assist with reporting matters, accounting research and ongoing accounting in accordance with lease accounting standards. Additionally, this position is expected to be instrumental in process improvement projects. YOUR FOCUS (JOB DUTIES AND RESPONSIBILITIES): * Leadership role in implementation of new lease accounting standard and development of accounting processes subsequent to adoption * Lease accounting * Impairment and closed store accounting * Acquisition accounting * GAAP research, documentation of technical accounting matters * Prepare periodic reporting in support of ABL requirements * Periodic reporting needs, e.g. compilation of monthly financial statements * Annual financial statement and footnote preparation * Legal entity financial statement preparation * Assist with the annual audit * Assist in various process improvement projects in the finance area * Maintain and implement the system of internal controls to safeguard company assets adequately; make recommendations for improvement * Other job-related duties as assigned YOUR BACKGROUND (REQUIREMENTS AND QUALIFICATIONS): Have you had to work in high-expectation situations providing detailed work and collaboration with a diverse team to deliver solutions? You will have excellent planning and organization skills with the highest level of attention and accuracy. We are looking for the Senior Accountant-Reporting to also bring the following: * Proficiency in financial reporting * Exceptional communication skills that provide the ability to interact with all levels of the organization with a high customer service orientation * Proficiency in Microsoft Office Professional Series (Excel, Word and Outlook) and the ability to quickly learn and use job-specific computer programs * Proven experience handling multiple projects using strong prioritization and decision-making skills * Ability to work in high-expectation situations providing leadership to, and collaboration with, others to deliver solutions * Excellent planning and organization skills, with attention to detail and high level of accuracy * Ability to evaluate and improve processes * Ethical conduct and ability to maintain extreme confidentiality. EDUCATION and/or EXPERIENCE Bachelor's Degree in Accounting or related field and 4-7 years of relevant accounting experience; or equivalent combination of education and work experience. Retail and/or high multi-location experience is highly beneficial (Victra has ~1,100 stores). SUPERVISORY RESPONSIBILITIES None CERTIFICATES, LICENSES, REGISTRATIONS CPA PHYSICAL DEMANDS The physical demands described here are representative of those that must be met by an individual to successfully perform the essential functions of this job including the ability to work in an office environment. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to sit and talk or hear. The employee is occasionally required to stand; walk; use hands to finger, handle, or feel; reach with hands and arms; and stoop, kneel, crouch, or crawl. The employee must regularly lift and/or move up to 10 pounds and occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision, color vision, and ability to adjust focus. WORK ENVIRONMENT The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Work environment is a typical climate-controlled cubicle office setting. The noise level in the work environment is usually quiet to moderate. TRAVEL REQUIREMENTS None EQUAL OPPORTUNITY EMPLOYER VICTRA is proud to be an equal opportunity employer - and celebrate our employees' differences, regardless of race, color, religion, gender, sexual orientation, gender identity, national origin, age, disability, or Veteran status. Different makes us better. OTHER DUTIES Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice. A Wireless Raleigh NC

Regulatory Reporting Analyst

Expired Job

AXA