Lead Manager, Forms Drafter and Compliance

Lead Manager, Forms Drafter and Compliance
NC, Charlotte
Job ID : 44827
Job ID : 44827

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

Lead Manager, Life Forms Drafter and Regulatory Compliance 

Job Description:
AXA is looking for a knowledgeable and innovative person to join us in our Charlotte location and build out our Forms and Filing Team.  The Forms and Filing function within our US Life Business is paramount to both ensuring the successful rollout of new and enhanced products, as well as ensuring that current products remain in compliance with various state regulations.

This position’s primary responsibility will be to draft AXA’s individual life insurance policy, rider, and endorsement forms for variable life, indexed variable life, universal life, indexed universal life, whole life and term life in accordance with Product Management’s specifications, current state insurance laws, and current Interstate Insurance Product Regulation Commission (IIPRC) form standards, and to obtain final sign-off of such drafts by internal parties, such as Product Management, Legal Division, and Actuarial. Detailed key accountabilities are specified below.

State Filings:
• Collaborates with team members to submit final versions of life insurance forms to state insurance departments and the IIPRC for approval before product launch via the System for Electronic Rate and Form Filing (SERFF);
• Also drafts comprehensive state insurance department cover letters that accompany state form filing submissions and completes ancillary filing documents, such as state certifications;
• Coordinates workflow with Actuarial to ensure filing deliverables, such as required actuarial basis memoranda, within specified timelines;
• Manages, as well as assists team members with, the preparation of product filings (e.g., determining state filing fees, completing the required IIPRC “Mix and Match” information, calculating Flesch readability scores) and ensures completion of the approval process of such filings within specified timelines;
• Expeditiously resolves any filing objections from state insurance regulators or the IIPRC within specified deadlines to secure maximum number of approvals before product launch;
• Circulates periodic reports or release memoranda to internal parties (e.g., Product Management, Actuarial, and IT) to inform them of product approval status, any new form revisions or state variations, new administrative requirements and rules for policy issuance, or regulatory changes;
• Periodically conducts research or compiles filing-related documentation for internal parties, such as the Legal Division, Product Management, or Actuarial;
• Works with team members and IT to ensure accurate input of approved life insurance forms into AXA’s administrative systems; and
• Acts as a “go-to” person for life insurance forms compliance questions from internal parties.
Regulatory Compliance
• Requires periodic travel to industry meetings to keep abreast of life insurance topics, such meetings include the Association of Insurance Compliance Professionals, American Counsel of Life Insurers, and the Life and Health Compliance Association;
• As assigned by the Director of the team, monitors and tracks proposed or new state insurance legislation and regulations via RegEd—the Company’s compliance operation system—and informs appropriate internal parties of any change in forms or operations;
• Assists the Director of the team with state insurance departments’ market conduct examinations as needed.



Knowledge, Skills, Abilities, Education:
• 5+ years of solid individual life insurance forms drafting, filing, and compliance experience in at least three of the life insurance product types listed above;
• Detailed-oriented;
• Familiarity with, and the ability to interpret with minimal supervision, state insurance laws and regulations;
• Strong research, analytical and practical problem-solving skills;
• Effective verbal and written communication skills;
• Bachelor’s degree required;
• Proficient in Microsoft Office applications, knowledge of RegEd a plus.

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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