Sr. Compliance Analyst - Supervision & Oversight

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:

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 commi