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Branch Control Specialist [21/01/2010]
Administer Branch Compliance responsibilities under the guidance of the Branch Manager with assistance from the Director of Business Practices. Manage current procedures and implement new/revised regulations. Use the Compliance Tracking System (CTS) and other management software for administration. Collect, process, track, and maintain required forms from Associates. Review and manage all "books & records" and sales transactions reports. Work with local managers/principals to perform Associate and office audits/reviews. Travel to outlying District or Associate offices to perform Associate and office audits/reviews. Review and spot-check incoming and outgoing correspondence, faxes, and e-mail with other principals. Perform Compliance training sessions for Associates, Managers, and staff. Implement new/revised compliance procedures consistent with the current organizational structure and available resources. Implement "Best Practice" models developed by Director of Business Practices. Prepare evaluation/recommendation reports as needed by Division Management, Divisional Director of Business Practices or the National Compliance Office.
College education required - emphasis in business helpful - graduate business degree helpful
- NASD Series 7
- Series 24 must be passed within approximately sixty days if not currently registered.
- Other NASD registrations are helpful but not required.
- Experience in or knowledge of insurance, securities, or financial services compliance regulation.
- Experience as compliance support staff, or related AXA experience supporting/interacting with Field personnel/management in compliance administration (1 year minimum.
- Worked in a team environment that emphasized group contributions
- Excellent written and verbal/presentation skills
- Organized with strong attention to detail
- Proficient personal computer/software knowledge and capabilities (e.g. Word/Excel/Access.
- Proven ability to manage many projects/tasks at the same time or "multi-task".
- Proven ability to manage people and their performance of various activities.
- Ability to perform under pressure and under tight deadlines.
In addition to competitive compensation and an outstanding benefits package including 401 (k), pension and medical programs, we offer the opportunity for continued professional development in a congenial corporate environment. EOE M/F/D/V
We are proud to be an EEO/AA employer M/F/D/V. We maintain a drug-free workplace and perform pre-employment substance abuse testing.
Job Type:
Permanent
Location:
Massachusetts-Framingham/Worcester
Salary:
[n/a]
Date available:
now
Experience Skills:
Experienced
Company:
AXA Equitable Financial Services, LLC
Company Description:
In business since 1859, AXA Equitable Life Insurance Company (formerly The Equitable Life Assurance Society of the United States) is a leading financial protection company and a premier provider of life insurance, annuity, and investment products and services. AXA Equitables assets under management totaled $539.46 billion as of December 31, 2008
Company Website:
[n/a]
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