Manager will perform routine transactions, such as review and investigation of actions that trigger flags in various review systems. Review of Advertising Submissions and Social Media Profiles by Branch Financial Professionals. Review and approval of Incoming and Outgoing Correspondence by Branch Financial Professionals and Branch staff. Outside Business Activity Review, Form ADV Part2B Review. Field compliance/controls questions from branch sales force for clarification and direction. Perform Signature Guarantee for Branch Financial Professionals located in the Orlando Office location. Person conducts annual financial advisor compliance interviews/audits, including inspection of business practices and physical location. Provides support to Branch Controls Manager (Sr. or Lead Manager) and assists with the supervision responsibilities of the Branch Manager
2 years or more Compliance/Controls Experience preferred. Prior Industry experienced 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.