Regional Counsel

AXA
Charlotte, NC
Full Time
01-09-2019
Job #: 18000BFS Exp.: 5+ Years
Description:
Summary
  • Responsible for providing advice and counsel to the company's retail sales force and various business partners to ensure compliance with applicable FINRA and SEC regulatory rules as well as individual state securities and insurance statutes.
  • Conduct investigations of significant compliance violations and recommend appropriate sanctions and remediation plans.
  • Coordinate with employment and litigation counsel on matters involving sales practice issues. Assist customer relations department in addressing sales practice complaints.
  • Respond to inquiries from regulators and successfully resolve enforcement actions.
  • Provide critical analysis of key legal and compliance issues to business partners and supervisors on high-risk matters.
  • Conduct training for supervisory personnel on securities and insurance regulatory issues.
  • Maintain current knowledge of securities and insurance laws.
  • Recommend, develop and implement changes to existing policies and procedures, as warranted, to comply with updated regulations.

Qualifications
The successful candidate will bring:
  • J.D. Attorney with approximately 5+ years of experience, preferably in the financial services industry or relevant law firm experience
  • Experience related to FINRA sales practice rules
  • Strong organizational skills
  • Demonstrated ability to work in a fast-paced environment
  • Excellent written and oral communication skills

When you Apply, don't forget to mention that you found this job on Attorneyjobsinusa.com.






Upload Your Resume
Upload your resume on Attorney Jobs in USA to allow featured employers to find you.

Upload Your Resume

Post A Job Now
If you are an employer, we encourage you to post your job vacancy on our site.

Post A Featured Job