REGIONAL CONTROLS MANAGER

Employment Type

: Full-Time

Industry

: Non-Executive Management



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Job Description



Primary Location
: UNITED STATES-NY-SYRACUSE


Other Locations
: UNITED STATES-NY-BUFFALO


Organization
: AXA US


Contract Type
: Regular


Shift
: Day Job


Schedule
: Full-time


Description
We are currently seeking a Regional Controls Manager who will report to the (Lead Regional Controls Manager) and be responsible for providing on-site, regional support to local branches: Conduct announced, and unannounced annual associate interviews/audits as required by AXA Advisors Policy and Regulatory requirements (FINRA rule 3010). Includes inspection of business practices and business physical location; - Conduct routine and ...

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