We are currently seeking a Regional Controls Managerwho 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 special annual associate interviews in assigned regions or areas needed based on supervisors discretion.
- The role will be based in specific branch locations with the expectation of 50% required travel
In addition, the role may support the region on behalf of HQ.
- Significant coordination with local branches and Region for scheduling purposes.
- Supervision of Pinpoint related items for Branch that is housing this position.
- Various local Branch delegations
- On-site supervision support to branches with a vacant BCM/no BCM on-site (correspondence review, Pinpoint and Protegent Surveillance/ProSurv back up)
- Special Projects Coordinate or support special projects for the region/field on behalf of HQ.
- Assist BCM/EVP as needed to train or address deficiencies noted during annual interviews.
- Conduct mock audits of Local OSJs.
- Supervision support of field sales force and Region (back up to BCM as directed by the Region)
- Support of Books and Records requirements; Manage record retention
- Support AXAs sales force and other personnel in meeting AXA and industry (FINRA, SEC, State) compliance/controls standards through adherence to all applicable laws, rules, regulations and procedures.
- Training support training of field force, branch managers, branch controls managers; ensure annual education requirements are fulfilled
- Suitability review system support (Protegent Surveillance/ProSurv)
Series 7 REQUIRED,
5-10 years experience in the financial services industry
Extensive knowledge of AXAs products, systems, compliance and supervisory requirements, branch structure, etc.
Strong communication (written/oral) skills
Ability to manage relationships with competing objectives
Ability to present in a group environment
Background in training direct or non-direct reports
Series 24 strongly preferred (if you do not have the 24, must be able to obtain within 90 days of employment) 51, 66 or 65-63 preferred
Bachelors Degree or equivalent work experience preferred
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.
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