Strategic Compliance & Oversight Analyst

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 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.