Strategic Compliance & Risk Oversight Analyst

Axos Bank; Omaha (NE); On-site; USD 69,000 - 84,000; Full time

Benefits offered by this job

Medical, Dental, Vision, and Life? Ins

Paid Sick Leave, 3 weeks’ Vacation, 11

401(k) Retirement Saving Plan with EMP

Employee Mortgage Loan Program

Free Axos Bank Account with Self-Dir.

Job summary

Axos Clearing LLC is seeking an Oversight & Supervision Principal to support the company’s program, including regulatory filings, employee compliance, risk analysis, testing, and surveillance. The role emphasizes timely, thorough, and compliant operations across multiple departments.

Responsibilities include maintaining registrations, partner collaboration, policy testing, and onboarding support, with a focus on identifying trends and escalating issues to management.

Qualifications

• Minimum 3+ years in compliance, operations, or supervision within financial services.
• Familiarity with securities rules, laws, and regulations.
• Ability to interpret regulatory guidance and draft actionable policies.

Responsibilities

• Update regulatory registrations for the company and employees.
• Monitor and maintain records related to employee compliance.
• Collaborate with internal partners to manage risk across departments.
• Test policies and procedures to identify and mitigate risk.
• Develop and use supervision reports and related processes.
• Draft and update operating procedures.
• Support onboarding of new employees.
• Summarize results and report to management in a timely manner.
• Identify trends and escalate issues.
• Manage communications related to oversight activities.

Skills

Compliance experience

Regulatory knowledge

Communication skills

Analytical skills

Problem-solving

Self-directed

Education

FINRA Series 7/63/66 or equivalent

Series 24 within 120 days

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 program, including regulatory filings, employee compliance, risk analysis, testing, and surveillance. The role emphasizes timely, thorough, and compliant operations across multiple departments.

Responsibilities include maintaining registrations, partner collaboration, policy testing, and onboarding support, with a focus on identifying trends and escalating issues to management.