Sr. Compliance Analyst - Supervision & Oversight

Axos® Clearing, A Subsidiary of Axos Financial; Centennial (CO); On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

Medical Insurance

Dental Insurance

Vision Insurance

Life Insurance

401(k) Plan with Match

Job summary

Axos Clearing 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, and training.

You will collaborate with internal partners to update registrations, maintain compliance records, develop supervision reports, and identify trends while providing timely feedback to management.

Qualifications

• High school diploma or equivalent required with experience in compliance, operations, or supervision within financial services.
• FINRA Series 7/63/66 current or equivalent required; ability to obtain Series 24 within 120 days if not held.
• Strong knowledge of securities rules, laws and regulations and ability to translate guidance into policies.

Responsibilities

• Update company and employee regulatory registrations.
• Monitor and maintain records related to employee compliance.
• Build collaborative relationships with internal business partners.
• Test policies and procedures to manage and mitigate risk across departments.
• Develop supervision reports and processes; draft and update procedures.

Skills

Regulatory compliance

Analytical reasoning

MS Excel

MS Word

Communication

Problem solving

Education

High school diploma or equivalent

FINRA Series 7/63/66 or equivalent

Tools

MS Word

MS Excel

Series 24 readiness

Job description

Axos Clearing is seeking an Oversight & Supervision Principal who will be responsible for assisting with the implementation and support of the Company's Oversight & Supervision program, including regulatory filings, employee compliance, risk analysis, testing & surveillance, review of records and training. The Oversight & Supervision team utilizes current regulatory and best practices to protect our clients, employees, and the Company. The team strives to be known for their timeliness, thoroughness, and integrity.

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

Qualifications

• High school diploma or equivalent
• 3+ years of experience in compliance, operations, or supervision role within the financial services industry
• Certifications, Licenses, Registrations: 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
• Experience creating, enhancing, and executing innovative Compliance/Oversight initiatives
• Comfortable interpreting regulatory guidance to create actionable, relatable policies and procedures
• 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
• Proficient working knowledge of Microsoft Word and Microsoft Excel

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