Lead Manager - Regulatory Controls

Lead Manager - Regulatory Controls
NC, Charlotte
Job ID : 44980
Job ID : 44980

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

Manage Regulatory, Registration, Licensing and Contract Administration functions and overall daily administration of the AHCA office. Responsible for Principal signoff of all regulatory transactions
(FINRA, State, etc.). Manage and recommends what new/revised policies must be implemented and ensures compliance with new rules, and regulations. Identify training needs for the department and the field. Provide exceptional level of customer service to all AHCA customers. Work with internal and external customers (BM, BOMs, Compliance, Law Dept., etc.) to improve operational efficiencies and service, to address and improve/reinforce controls. Prepare presentations for senior management. Manage the staff by providing regular feedback and
coaching/mentoring/counseling employees to achieve higher productivity and quality results.

  • FINRA 6 Required and 26 to be taken with 90 days of hire
  • Subject matter expert on SEC, FINRA and State Departments of Insurance rules and regulations.
  • Strong verbal and written communication skills. 
  • Strong interpersonal, customer service and management skills.
  • Advanced knowledge of word processing and spreadsheet applications.
  • Thorough knowledge of internal and external systems (LARS, PS, WebCRD, Sircon, etc.) 
  • Responsible for managing the team
  • Bachelor's Degree
  • 10 + years experience


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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