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Senior Compliance Manager And Associate General Counsel

Expired Job

AXA Albany , NY 12201

Posted 2 months ago

Reporting to the Chief Compliance Officer, this position manages the Law Department's Customer Relations Office, which reviews, answers and tracks customer sales complaints received across the AXA Equitable enterprise. The position also provides oversight and advice as needed to the units within the Company's Service Centers handling service complaints to ensure consistency and quality.

The HCRO manages the day-to-day activities of sales complaint analysts; reviews more significant complaints; interfaces with attorneys representing complainants; ensures complaints are properly tracked; reviews complaint data for any trends relating to products or sales practices and engages relevant business areas to remediate; provides periodic reporting of complaint data to relevant business heads; and coordinates with the Litigation and Compliance Practice Groups in responding to lawsuits and regulatory investigations.

The HCRO also provides legal support to the Government Relations Group and Insurance Practice Group in dealing with state insurance regulators on various significant issues. The HCRO also provides legal support to the Lead Director and 38a-1 CCO and his team and works on significant legal and regulatory matters arising out of Service Center operations.

The successful candidate will have these required qualifications:

  • Must be an attorney with minimum of 12-years experience practicing law

  • Minimum of 10-years' experience working in the life insurance and securities industries

  • Detailed knowledge of life insurance and annuity products and their operational support

  • Experience dealing with insurance regulators

  • Highly motivated and outgoing self- starter with strong interpersonal and diplomatic skills

  • Current Series 7 registration or the ability obtain Series 7 within first 6 months

  • Current Series 24 registration or the ability to obtain Series 24 within first 18 months

  • Extensive Travel may be required


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.



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Senior Compliance Manager And Associate General Counsel

Expired Job