Senior Regulatory & Oversight Analyst

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

Benefits offered by this job

Medical Insurance

Time Off benefits

HSA/FSA account

401(k) Employer Match

Mortgage loan program

Bank account access

Job summary

Axos Clearing LLC is seeking an Oversight & Supervision Principal to help implement and support the Company’s Oversight & Supervision program, including regulatory filings, employee compliance, risk analysis, testing and surveillance, review of records, and training. The team aims to protect clients, employees, and the Company with timeliness, thoroughness, and integrity.

The role involves updating registrations, monitoring records, conducting tests, developing supervision reports, onboarding

Qualifications

• 3+ years of experience in compliance, operations, or supervision in the financial services industry.
• Current FINRA Series 7/63/66 or equivalent required, and ability to obtain a Series 24 within 120 days
• Working knowledge of securities rules, laws, and regulations
• Experience creating, enhancing, and executing innovative Compliance/Oversight initiatives
• Comfortable interpreting regulatory guidance to create actionable policies and procedures
• Exceptional oral and written communication, critical thinking, and problem-solving skills
• Ability to identify and solve complex and ambiguous issues
• 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

Skills

Regulatory compliance

Risk analysis

Regulatory testing

Communication skills

Analytical research

Education

High school diploma or equivalent

Tools

Microsoft Word

Microsoft Excel

Job description

Axos Clearing LLC is seeking an Oversight & Supervision Principal to help implement and support the Company’s Oversight & Supervision program, including regulatory filings, employee compliance, risk analysis, testing and surveillance, review of records, and training. The team aims to protect clients, employees, and the Company with timeliness, thoroughness, and integrity.

The role involves updating registrations, monitoring records, conducting tests, developing supervision reports, onboarding