Guides Branch Sales Manager for all compliance-related functions and issues. Effectuates and maintains branch office books & records requirement. Manages all required record retention. Ensures education and tracking of financial advisors and other supervisors by coordinating annual compliance meetings, required Firm courses and regulatory requirements. Conducts regulatory-required annual financial advisor compliance interviews/audits, including inspection of business practices and business physical location. Typically is the lead Controls person in branches less than 7 million PCs and potentially multiple locations. The position may include Senior or Lead Control Associates reporting to the him/her.
Regarded as an operational and/or compliance professional and leader. Able to resolve conflicts and problems independently Strong leadership Skills Ability to function independently Proactive decision-making skills Strong ability to collaborate Strong communication skills. Basic understanding of the organization's financial performance. Supervises staff and acts as a mentor to new employees. 5-8 years of experience. Branch Controls - Series 7, 24, 53, 63 and 65/66
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.
Total job postings in the last 12 monthsBased on 130 job boards, duplications excluded
Current job openings
Average posting lifetime
Total job posting distribution in the last 12 monthsBased on 130 job boards, duplications excluded
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