Assistant General Counsel

Axos Clearing LLC; San Diego (CA); On-site; USD 110,000 - 160,000; Full time

Benefits offered by this job

Medical, Dental, Vision, and Life保险

Paid time off and holidays

HSA or FSA benefits

401(k) with employer match

Mortgage loan program and Axos Bank账户

Job summary

Axos Clearing LLC is seeking an Assistant General Counsel to guide legal and regulatory compliance, draft and negotiate contracts, and support litigation efforts across Axos Clearing business units.

You will collaborate with internal teams and external counsel to ensure legal standards are met while addressing risks and facilitating strategic initiatives.

Qualifications

• JD from an accredited law school.
• Active bar membership in good standing with no disciplinary history.
• 3+ years of corporate law experience in a corporate or law firm setting.

Responsibilities

• Draft, review, and negotiate agreements relating to clearing and custody business with brokers and counterparties.
• Develop and maintain standardized agreements, forms, and disclosures for securities activities.
• Advise on securities law, corporate governance, and regulatory matters.
• Provide timely legal support to Axos Clearing units in collaboration with internal teams and external counsel.
• Assist with litigation and dispute resolution processes.
• Identify and address legal risks across business operations.

Skills

Corporate law

Regulatory compliance

Contract drafting

Negotiation

Risk assessment

Education

Juris Doctor (JD)

Job description

Axos Clearing LLC Target Range: $110,000.00/Yr. - $160,000.00/Yr. Actual starting pay will vary based on factors including, but not limited to, geographic location, experience, skills, specialty, and education. Eligible for an Annual Discretionary Cash Bonus Target: 10% Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 10% These discretionary target bonuses may be awarded semi-annually based upon your achievement of performance goals and targets.

About This Job

As Assistant General Counsel at Axos Clearing, you will play a pivotal role in ensuring our organization navigates the complex legal landscape with confidence and integrity. Your expertise will be crucial in advising on legal and regulatory compliance and corporate governance. You will be responsible for drafting and negotiating contracts, supporting litigation efforts, and working on business projects to help ensure that they align with legal standards. This position requires a proactive approach to identifying legal risks and providing strategic solutions, making you an essential partner in our company's success.

Responsibilities

• Draft, review, and negotiate agreements relating to clearing and custody business, including agreements with broker-dealers, registered investment advisors, and other securities industry counterparties
• Develop and maintain standardized agreements, forms, and disclosures for various securities industry-oriented activities
• Advise on securities law requirements, corporate governance, and regulatory matters
• Work closely with internal teams and external counsel to provide timely, practical, and solution-oriented legal support to all Axos Clearing business units
• Assist with litigation and dispute resolution processes
• Identify and address legal risks associated with business operations

Qualifications

• Juris Doctor (JD) degree from an accredited law school
• 3+ years of experience in corporate law, preferably within a corporate legal department or law firm
• Active bar membership in good standing, with no disciplinary history
• Strong problem-solving, critical thinking, analytical, and strategic planning abilities
• Ability to thrive in a fast-paced and dynamic environment
• Proven capacity to manage a diverse and complex workload effectively
• Excellent interpersonal, communication, and negotiation skills
• Outstanding organizational skills with strong time management and follow-up capabilities

Axos Employee Benefits

• Medical, Dental, Vision, and Life Insurance
• Paid Sick Leave, 3 weeks' Vacation, and Holidays (about 11 a year)
• HSA or FSA account and other voluntary benefits
• 401(k) Retirement Saving Plan with Employer Match Program and 529 Savings Plan
• Employee Mortgage Loan Program and free access to an Axos Bank Account with Self-Directed Trading

About Axos

Born digital-first, Axos delivers financial tools and services that allow individuals, small businesses, and companies to access and manage their money how, when, and where they want. We're a diverse team of dynamic, insightful, and independent innovators who are excited to provide technology-driven solutions that offer unbeatable value to our customers. Axos Financial is our holding company and is publicly traded on the New York Stock Exchange under the symbol "AX" (NYSE: AX). Learn more about working at Axos

Pre-Employment Background Check and Drug Test

All offers are contingent upon the candidate successfully passing a credit check, criminal background check, and pre-employment drug screening, which includes screening for marijuana. Axos Bank is a federally regulated banking institution. At the federal level, marijuana is an illegal schedule 1 drug; therefore, we will not employ any person who tests positive for marijuana, regardless of state legalization.

Equal Employment Opportunity

Axos is an Equal Opportunity employer. We are committed to providing equal employment opportunities to all employees and applicants without regard to race, religious creed, color, sex (including pregnancy, breast feeding and related medical conditions), gender, gender identity, gender expression, sexual orientation, national origin, ancestry, citizenship status, military and veteran status, marital status, age, protected medical condition, genetic information, physical disability, mental disability, or any other protected status in accordance with all applicable federal, state, and local laws.

Job Functions and Work Environment

While performing the duties of this position, the employee is required to sit for extended periods of time. Manual dexterity and coordination are required while operating standard office equipment such as computer keyboard and mouse, calculator, telephone, copiers, etc. The work environment characteristics described here are representative of those an employee may encounter while performing the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of this position.

E-Verify and Right to Work Notices

Axos participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States. The E-Verify program is an internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. IER Right to Work Poster (English/Spanish) E-Verify Participation Poster (English/Spanish)

We're a team of relentless innovators that are challenging the status quo through smart, pro-consumer financial products and services. We got our start in 2000, as an online bank - when the idea of banking online was almost unthinkable. Since then, we've evolved to add commercial banking, commercial lending, investment, clearing, and fiduciary services to our toolbox. As modern life continues to present new challenges for clients, we step up and find creative ways to solve them.