Senior Manager - Compliance Surveillance (Charlotte, NC or Syracuse, NY)

Senior Manager - Compliance Surveillance (Charlotte, NC or Syracuse, NY)
NY, Syracuse
Job ID : 45021
Job ID : 45021

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

• Candidate will be responsible for surveillance activities to monitor compliance with Firm policies and procedures and securities industry rules and regulations.
• Identify and resolve suitability and sales practice issues through available reports and systems.
• Advise and train branch management on compliance policies and procedures.
• Identify instances of departure from compliance policies and procedures in line with industry standards.
• Keep current with new investment products, technologies and applications as well as their implications for the assigned area.
• Participate in the development and review of internal/external surveillance systems, requirements and processes.


• A minimum of 5 years of experience in financial services is required.
• Candidate must possess strong leadership skills and is a self-starter.
• Proven track record as compliance professional and strong analytical, technology and interpersonal skills are required.
• Successful candidate will be able to work independently and meet internal and external deadlines.
• Knowledge of insurance, brokerage and investment advisory products is preferred.
• Proficient skills in Microsoft Office applications, particularly Excel, ACCESS and PowerPoint. Knowledge in working with spreadsheets and database applications. Tableau knowledge a plus.
• Candidate should be able to work independently on a multitude of projects and ensure that both internal and external deadlines are met.
• Attention to detail and working as part of a team is vital.
• A college degree is required. Series 7 and 24 licenses preferred or be willing to take them in the short term.
• Project management experience 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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