Michael Hill Email & Phone Number

2825 E Cottonwood Pkwy, Suite 430 Salt Lake City, Ut 84121

Guides Branch Sales Manager for all compliance related functions and issues. Maintains branch office books & records requirement. Manages all required record retention. Ensures education and tracking of Financial Advisor's and other supervisors by coordinating annual compliance meetings, required Firm courses and regulatory requirements. Conducts regulatory required annualFinancial Advisor compliance interviews/audits, including inspection of business practices and business physical location.

2825 E Cottonwood Parkway Suite 430, Salt Lake City, Ut 84121

Guides Branch Sales Manager for all compliance related functions and issues. Maintains branch office books & records requirement. Manages all required record retention. Ensures education and tracking of Financial Advisor's and other supervisors by coordinating annual compliance meetings, required Firm courses and regulatory requirements. Conducts regulatory required annual Financial Advisor compliance interviews/audits, including inspection of business practices and business physical location. AXA Advisors, LLC (NY, NY), member SIPC, a broker-dealer / AXA Advisors, LLC, an SEC-registered investment advisor. AXA Network, LLC; AXA Network Insurance Agency of California, LLC in CA; AXA Network Insurance Agency of Utah, LLC in UT; AXA Network of Puerto Rico, Inc. in PR. EOE M/F/D/V. 104867 (06/2017)

Walnut Creek, Ca

Full people management responsibility, working independently, responsible for the management of overall office operations and compliance for a firm with over 100 producers and over $12 million in sales annually and branch offices in 3 states.• Provides compliance oversight for registered and detached offices• Serves as back up registered principal for the agency and detached offices• Manages the controls, recruiting, marketing, technical and administration operations areas for the agency• Assists the Managing Director with establishing and implementing the business and financial plans for the agency• Develops systems and processes that streamline the efficiency of the operation• Manages daily workflow and operations and establishes office procedures• Manages and oversees expenses and profitability• Oversees the implementation and administration of the recognition program within the agency• Oversees issues related to the acquisition of experienced personnel• Serves as agency liaison with the Home Office in matters pertaining to Ethics and Compliance, Licensing and Registrations. Compensation Planning and Payroll, Legal Affairs, Human Resources and Underwriting.• Conducts internal training within the agency on issues pertaining to Compensation, Compliance and General Securities Products.