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Branch Control Specialist [01/21/2010] |
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Administer Branch Compliance responsibilities under the guidance of the Branch Manager with assistance from the Director of Business Practices. Manage current procedures and implement new/revised regulations. Use the Compliance Tracking System (CTS) and other management software for administration. Collect, process, track, and maintain required forms from Associates. Review and manage all "books & records" and sales transactions reports. Work with local managers/principals to perform Associate and office audits/reviews. Travel to outlying District or Associate offices to perform Associate and office audits/reviews. Review and spot-check incoming and outgoing correspondence, faxes, and e-mail with other principals. Perform Compliance training sessions for Associates, Managers, and staff. Implement new/revised compliance procedures consistent with the current organizational structure and available resources. Implement "Best Practice" models developed by Director of Business Practices. Prepare evaluation/recommendation reports as needed by Division Management, Divisional Director of Business Practices or the National Compliance Office.
Job Requirements: College education required - emphasis in business helpful - graduate business degree helpful
- NASD Series 7
- Series 24 must be passed within approximately sixty days if not currently registered.
- Other NASD registrations are helpful but not required.
- Experience in or knowledge of insurance, securities, or financial services compliance regulation.
- Experience as compliance support staff, or related AXA experience supporting/interacting with Field personnel/management in compliance administration (1 year minimum.
- Worked in a team environment that emphasized group contributions
- Excellent written and verbal/presentation skills
- Organized with strong attention to detail
- Proficient personal computer/software knowledge and capabilities (e.g. Word/Excel/Access.
- Proven ability to manage many projects/tasks at the same time or "multi-task".
- Proven ability to manage people and their performance of various activities.
- Ability to perform under pressure and under tight deadlines.
College education required - emphasis in business helpful - graduate business degree helpful - NASD Series 7 - Series 24 must be passed within approximately sixty days if not currently registered. - Other NASD registrations are helpful but not required. - Experience in or knowledge of insurance, securities, or financial services compliance regulation. - Experience as compliance support staff, or related AXA experience supporting/interacting with Field personnel/management in compliance administration (1 year minimum. - Worked in a team environment that emphasized group contributions - Excellent written and verbal/presentation skills - Organized with strong attention to detail - Proficient personal computer/software knowledge and capabilities (e.g. Word/Excel/Access. - Proven ability to manage many projects/tasks at the same time or "multi-task". - Proven ability to manage people and their performance of various activities. - Ability to perform under pressure and under tight deadlines. In addition to competitive compensation and an outstanding benefits package including 401 (k), pension and medical programs, we offer the opportunity for continued professional development in a congenial corporate environment. EOE M/F/D/V We are proud to be an EEO/AA employer M/F/D/V. We maintain a drug-free workplace and perform pre-employment substance abuse testing.
Job Type: Contract/Temp Location: Michigan-Ann Arbor
Salary: [n/a] Date available: now Specialist Industry: Compliance Office Company: AXA Equitable Company Description: AXA Equitable has been providing millions of customers with life insurance, annuities and other needs-based products since 1859. Company Website: [n/a]
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05/16/2012