Enterprise Risk Associate

Axos® Clearing, A Subsidiary of Axos Financial; Omaha (NE); On-site; USD 70,000 - 100,000; Full time

Benefits offered by this job

Medical, Dental, Vision, and Life Ins.

Paid Sick Leave, vacation and holidays

401(k) with employer match

Job summary

Axos Clearing, A Subsidiary of Axos Financial, is seeking an Enterprise Risk Associate to monitor and report on KRIs/KPIs, track enterprise risks, and partner with business units to document controls, issues, and remediation plans. The role supports risk governance through data analysis and board-level reporting.

You will drive enhancements to risk management processes, engage with senior leadership, and contribute to governance activities across the organization.

Qualifications

• 2-5 years of experience in the Financial Services or Brokerage Industry.
• 2-5 years of experience in Risk Management within the Financial Services or Brokerage Industry.
• College degree preferably in accounting, economics or finance, or equivalent experience.
• FINRA licenses 7, 63, and 24 (preferred, not required)

Responsibilities

• Establish and monitor KRIs/KPIs, including automation of calculation and monitoring.
• Collaborate with Risk and lines of business to document and track risks, controls, actions, and KRIs.
• Communicate with business units to ensure data integrity for risk reporting and governance.
• Support enterprise risk governance and board/management reporting enhancements.

Skills

KRIs/KPIs monitoring

Risk reporting

Data analysis

Education

College degree in accounting/economics/finance

Tools

FINRA licenses 7, 63, 24

Job description

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: 5%

Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 5%

These discretionary target bonuses may be awarded semi-annually based upon your achievement of performance goals and targets.

About This Job

Axos is seeking an Enterprise Risk Associate who will be responsible for monitoring and reporting on key risk and performance indicators (KRIs/KPIs), tracking enterprise and operational risks, and partnering with business units across the organization to ensure risks, controls, issues, and remediation plans are accurately documented and managed. This role will support enterprise risk governance through data analysis, risk reporting, board and management reporting, and ongoing enhancements to the Bank's risk management framework.

Responsibilities:

• Establish and monitor key risk indicators and key performance indicators (KRIs/KPIs), including the automation of the calculation and monitoring of these indicators, to ensure that senior management makes informative, risk-based decisions. Monitor and report on tolerance breaches and related action plans. Ensure responsibility and follow up on monitoring the breached key risk indicators.
• Work across Risk and all lines of business to identify, monitor, and ensure actions related to operational risk assessments, enterprise risks and controls, and key risk indicator monitoring are properly documented and tracked.
• Communicate regularly with the business units to ensure the integrity of inventoried risks, controls, KRIs, issues (updates and remediation plans), and loss events; ensure complete and accurate data is maintained to enable relevant tracking and risk reporting by reviewing all relevant bank reporting.
• Drive enhancements to overall enterprise risk management processes, including a variety of governance activities, senior management and board committee reporting, and regular engagement with business unit leadership.

Qualifications:

• 2-5 years of experience in the in the Financial Services or Brokerage Industry
• 2-5 years of experience in Risk Management within the Financial Services or Brokerage Industry
• College Degree preferably in accounting, economics or finance, or equivalent experience
• FINRA licenses 7, 63, and 24 (preferred, not required)

Axos Employee Benefits May Include:

• 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