Regulatory Reporting Manager

Regulatory Reporting Manager
NC, Charlotte
Job ID : 45414
Job ID : 45414

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

General Description:
• Candidate will be responsible for making specified regulatory reporting filings to FINRA, state securities departments, SEC, etc. on behalf of AXA Advisors, LLC.
• Review, discuss, and resolve matters involving our Registered Representatives with Regulators, field supervisors, and fellow compliance associates as needed;
• Review customer sales complaints, litigations and arbitrations and the resolution of those matters for reporting requirements (e.g., Form U4/U5/4530);
• Prepare various compliance reports for distribution to management and field personnel;
• Review and enter data in FINRA’s WebCRD system relating to Registered Representative’s Form U4/U5;
• Responsible for the quarterly 4530 statistical submission to FINRA;
• Review securities regulations/websites to stay abreast of ongoing industry changes.  
• Responsible for responding to regulatory inquiries received from FINRA and various Insurance and Securities departments;
• Responsible for maintaining the AXA Advisors Compliance Manual.


• A minimum of 2-3 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.
• Knowledge of insurance, brokerage and investment advisory products is preferred.
• Excellent written and verbal communication and presentation skills.  
• Proficient skills in Microsoft Office applications, particularly Word and Excel.
• 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 Bachelor's degree is required.
• Series 7 license preferred or be willing to take the exam within 90 days.
• 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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