Sr. Compliance Analyst

Axos Clearing LLC

Target Range:

$68,640.00/Yr. - $80,000.00/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: 10%

Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 10%

These discretionary target bonuses may be awarded semi-annually based upon your achievement of performance goals and targets.

About This Job

As a Compliance Analyst, you will play a critical role in the future of Axos Clearing by working with compliance personnel and business units in addressing securities industry-related risks in an everchanging regulatory environment. The primary objective of this role is to support the Firm, compliance staff, and peers with securities industry matters to assist in the achievement of compliance with applicable securities laws, regulations, and rules. Responsibilities will include but are not limited to, serving as a compliance subject matter expert on regulatory compliance rules, laws, regulations, and topics, supporting peers with transactional reporting obligations, assisting with intake, review, assignment, and responding to regulatory inquiries from self-regulatory organizations and other regulatory bodies, acquiring and transmitting internal data and documentation, and working closely with compliance staff on oversight objectives.

The Compliance Analyst will support Axos Clearing’s business with contributions in all functions of compliance, including:

• Regulatory Compliance
• Compliance Administration
• Compliance Risk Management
• Education, Training, and Promoting a Compliance Culture

Responsibilities:

• Assisting the CCO and Compliance staff with regulatory change management, including monitoring changes and updates to securities rules and laws, interpreting current and proposed securities rules and laws, and maintaining and drafting internal policies and supervisory procedures
• Assisting compliance staff with addressing regulatory requests including processing inquiries, conducting research, collecting data and documents, and drafting formal responses
• Providing advisement to peers and leaders as subject matter expert regarding regulatory securities compliance matters
• Advising business partners on the application of compliance requirements for new products and services, process development, remediation, and improvement, and changes in law or regulation
• Serving as compliance liaison with internal departments relative to other activities that impact each area (Client Services, Financial Controls, Technology)
• Contributing to the maintenance of policies and procedures
• Building and developing relationships with key business units including, Legal, Risk Management, Finance and Accounting, and Operations
• Develop and enhance regular and on-going compliance-related training and resources
   

Qualifications:

• Bachelor’s degree in finance, Accounting, or relevant industry experience
• 2+ years of experience in compliance, operations, or supervision role in a financial services organization
• Possessing, or ability to work toward possessing, an in-depth knowledge of current FINRA, SEC, state and related regulations and rules

Preferred:

• Active FINRA Series 7 preferred
• Excellent written and verbal communication skills including an ability to clearly provide written reports that accurately and clearly summarize issues and present solutions in an understandable and logical manner
• Experience creating, enhancing, or executing innovative compliance initiatives or programs
• Comfortable interpreting regulatory guidance to create actionable, relatable policies and procedures
• Proven ability to influence others’ actions and decisions without expressing authority
• Proven ability to develop and maintain strong internal and external business relationships

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 the