Senior Compliance Director

Senior Compliance Director
NY, New York
Job ID : 44488
Job ID : 44488

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
  • Serve as the central point of contact for FMG LLC for routine compliance matters including portfolio compliance for FMG LLC related activities and service providers (e.g., sub-advisers, sub-administrator).
  • Responsible for the oversight of Rule 38a-1 and Rule 206 (4)-7 compliance programs including the production and completion of the annual compliance assessment report.
  • Maintenance of FMG LLC compliance manuals and related procedures.
  • Supervise and train junior staff members
  • Assist Chief Compliance Officer with internal and external regulatory exams and audits.
  • Serve as backup for Chief Compliance Officer for key compliance related functions including conflict management, portfolio compliance and Board reporting.
  • Assist with the compliance responsibilities for limited purpose broker-dealer


  • 10 + years of Investment Company Act of 1940 and Investment Advisers Act of 1940 compliance experience, within investment management industry preferred
  • Experience with the supervision of compliance professionals, including the ability to train, mentor and manage staff
  • Requires a self-directed professional with strong initiative and organizational skills
  • Strong research, analytical and practical problem-solving skills
  • Effective verbal and written communication skills
  • Bachelor’s degree required


Other information

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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