Enterprise Risk Associate

Axos Clearing LLC; Omaha (NE); On-site; USD 55,000 - 75,000; Full time

Benefits offered by this job

Medical, Dental, Vision, and Life Ins

Paid Sick Leave

Vacation & Holidays

HSA or FSA

Employer 401(k) match

529 Savings Plan

Employee Mortgage Loan Program

Axos Bank account access

Job summary

Axos Clearing LLC is seeking an Enterprise Risk Associate to monitor KRIs/KPIs, track enterprise and operational risks, and partner with business units to document risks, controls, issues, and remediation plans. The role supports governance through data analysis, risk reporting, and enhancements to the risk framework.

Responsibilities include automating KRIs/KPIs, monitoring tolerance breaches, and coordinating with risk and lines of business to ensure accurate data for executive reporting.

Qualifications

• 2–5 years of experience in 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, automating calculation and monitoring where possible.
• Monitor tolerance breaches and implement action plans.
• Coordinate risk assessments across risk functions and business lines, documenting risks, controls, and remediation plans.
• Provide governance reporting to senior management and board committees.

Skills

KRIs/KPIs tracking

Risk management

Data analysis

Education

Accounting, Economics or Finance degree

Tools

FINRA licenses 7/63/24

Job description

Axos Clearing LLC Target Range: $55,000.00/Yr. - $75,000.00/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: 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 Job Description Summary 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 Risk Management designations 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
• 529 Savings Plan
• Employee Mortgage Loan Program
• 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.