Lead Associate - Regulatory Controls

Lead Associate - Regulatory Controls
NC, Charlotte
Job ID : 44982
Job ID : 44982

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

Provide higher level of customer service support and responsible for specialized set of complex processes as it relates to contracting, licensing and registration. Is considered a recognized technical resource whose knowledge encompasses a broad range of processes and technology. Independently resolves complex and sensitive cases. Under general supervision, enter, update and maintain all records regarding new hire processing, individual licensing and registration needs. Review and process the initial FINRA form U4s, Departments of Insurance
License/Appointment applications, Appointment renewals and Contracting updates for candidates. Update and maintain candidate records using external and internal systems and applications. Provide higher level of customer service support for the assigned Branches and maintain field force Contract Administration records. Provides guidance to less experienced analysts. Function as subject matter expert and quality control. Responsible for a specialized set of complex processes.


This position has 4 openings

  • Series 7 preferred not required
  • 2-5 years of compliance experience
  • Subject matter expert of SEC, FINRA and State Departments of Insurance rules and regulations.
  • Strong verbal and written communication skills.
  • Strong interpersonal and customer service skills 
  • Bacheloer's Degree preferred


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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