Overview

Please send resumes to Melissa Wilson at melissa.wilson@axa.us.com

Company Description
AXA is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of the nation’s premier providers of life insurance and annuity products. The organization was established in 1859 and we are committed now more than ever to helping clients meet financial goals in all stages of their lives. One of the hallmarks of our proud heritage is providing world-class customer service.

We’re always looking for smart and talented people to help us develop new and innovative ways to expand our product portfolio, reach new customers and serve well the clients already a part of the AXA family.

Job Purpose
Headed by a Chief Compliance Officer and a senior lawyer, this Compliance group supports AXA Distributors by:
• Performing the required regulatory oversight of its sales and service operations, as well as supporting the distribution of life and annuity products sold through the wholesale channels.
• Managing compliance-related functions for AXA Distributors headquarters staff and wholesalers, including FINRA registration and insurance licensing, firm and regulatory elements, initial and ongoing compliance training, outside business activity tracking, as well as outside securities activity tracking and account review, customer complaints and regulatory inquiries, and updating the compliance manual and supervisory procedures manual.
• Providing legal advice on new business initiatives, regulatory inquiries, selling agreements and related matters.

The Compliance, Retirement Plan Services role provides compliance support and guidance related to FINRA, SEC and State Securities and Insurance laws, rule and regulations to the Retirement Plan Services Division of AXA Distributors, including 401k, 403b/457. In addition to specific support of the Retirement Plan Services channels, the role includes support of compliance functions for all channels of AXA Distributors (Individual Annuity and Life) and specifically providing guidance on cash/non-cash compensation, outside business activities, pre-hire reviews as well as oversight and monitoring of: e-mail surveillance, AXA Distributors Social Media program, development and administration of Firm Element program, FINRA Rule 3120/3130 testing, delivery of Annual Compliance Meetings and other miscellaneous Ad-Hoc compliance matters such as coordination of Market Conduct Examination requests.

Basic Qualification:
Series 6 or 7 required with a willingness to obtain the Series 26 or 24 within 180 days of hire.
The position requires: 5 plus years of experience in a compliance role preferably with an insurance company affiliated broker/dealer working in the Retirement Plan/Employer Sponsored businesses.

Preferred Qualification:
The candidate should have a strong working knowledge of FINRA, SEC and State Securities and Insurance Department rules and regulations and be able to practically apply these rules in a business environment. The candidate should have specific knowledge of FINRA and SEC rules related to cash/non-cash compensation, outside business activities, e-mail surveillance and social media regulatory requirements, and experience in conducing auditing and testing. The candidate should have the skills to work with the business and assist them in understanding these various rules and regulations and provide practical advice. The candidate should also have strong interpersonal and presentation skills and have a working knowledge of Microsoft Word, Excel, and FINRA’s CRD system.

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.

Please send resumes to Melissa Wilson at melissa.wilson@axa.us.com

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