Sr. Compliance Analyst - Supervision & Oversight

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 Target Range: $68,640/Yr. - $84,000/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

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

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.