Senior Compliance & Oversight Analyst

Axos Clearing LLC; Centennial (CO); On-site; USD 69,000 - 84,000; Full time

Benefits offered by this job

Medical/Dental/Vision/Life Insurance

Paid time off and Holidays

HSA/FSA benefits

401(k) + 529 plan

Employee banking benefits

Job summary

Axos Clearing LLC is seeking an Oversight & Supervision Principal to support the Company’s regulatory program, including filings, employee compliance, risk analysis, testing and surveillance, review of records and training. The role emphasizes collaboration with internal partners to ensure timely, accurate, and compliant processes across the firm.

A high school diploma and 3+ years in compliance-related roles are required, with FINRA Series 7/63/66 or equivalent and potential to obtain Series 24

Qualifications

• Current FINRA Series 7/63/66 or equivalent required, and if not already held, the ability to obtain a Series 24 within 120 days
• Working knowledge of securities rules, laws, and regulations
• Exceptional oral and written communication, critical thinking, and problem-solving skills
• Ability to identify and solve complex and ambiguous issues
• Strong analytical research skills with the ability to summarize findings in a succinct and organized manner
• Highly motivated and self-directed

Responsibilities

• Updating Company and employee regulatory registrations
• Monitoring and maintaining records associated with employee compliance
• Creating and maintaining collaborative relationships with internal business partners
• Conducting testing of the policies and procedures for multiple departments to manage and mitigate risk
• Developing and utilizing supervision reports and processes
• Drafting and updating procedures
• Providing support in the onboarding process of new employees
• Summarizing results and providing timely feedback to management
• Identifying and escalating trends
• Effectively managing incoming and outgoing communications

Education

High school diploma or equivalent

Tools

Microsoft Word

Microsoft Excel

Job description

Axos Clearing LLC is seeking an Oversight & Supervision Principal to support the Company’s regulatory program, including filings, employee compliance, risk analysis, testing and surveillance, review of records and training. The role emphasizes collaboration with internal partners to ensure timely, accurate, and compliant processes across the firm.

A high school diploma and 3+ years in compliance-related roles are required, with FINRA Series 7/63/66 or equivalent and potential to obtain Series 24