Sr. Compliance Analyst - Supervision & Oversight

Target range: $68,640 – $84,000 per year. Actual starting pay varies based on geographic location, experience, skills, specialty, and education. Eligible for annual discretionary cash bonus (target 5%) and restricted stock units bonus (target 5%), awarded semi-annually based on performance goals.

About the role

Axos Clearing is seeking an Oversight & Supervision Principal to assist with the implementation and support of the Company’s Oversight & Supervision program. The team uses current regulatory and best practices to protect clients, employees, and the Company, emphasizing timeliness, thoroughness, and integrity.

Responsibilities

• Update Company and employee regulatory registrations
• Monitor and maintain records associated with employee compliance
• Create and maintain collaborative relationships with internal business partners
• Conduct testing of policies and procedures for multiple departments to manage and mitigate risk
• Develop and utilize supervision reports and processes
• Draft and update procedures
• Provide support in the onboarding process of new employees
• Summarize results and provide timely feedback to management
• Identify and escalate trends
• Effectively manage incoming and outgoing communications

Requirements

• High school diploma or equivalent
• 3+ years of experience in compliance, operations, or supervision within the financial services industry
• Current FINRA Series 7/63/66 or equivalent required; ability to obtain Series 24 within 120 days if not already held
• 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

Skills

• Exceptional oral and written communication
• Critical thinking and problem-solving
• Ability to identify and solve complex and ambiguous issues
• Strong analytical research skills with the ability to summarize findings succinctly
• Highly motivated and self-directed
• Proficient in Microsoft Word and Excel

Benefits

• Medical, dental, vision, and life insurance
• Paid sick leave, 3 weeks’ vacation, and 11 holidays per year
• HSA or FSA account and other voluntary benefits
• 401(k) retirement savings plan with employer match and 529 savings plan
• Employee mortgage loan program
• 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 on their terms. Axos Financial, the holding company, is publicly traded on the New York Stock Exchange under the symbol "AX" (NYSE: AX).

Pre-employment requirements include a background check, credit check, and drug screening (including marijuana, regardless of state legalization). Axos is an Equal Opportunity employer.