Sr. Compliance Analyst - Supervision & Oversight

Target range: $68,640/Yr. - $84,000/Yr. Actual starting pay varies based on geographic location, experience, skills, specialty, and education. Eligible for an 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, 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 clients, employees, and the Company, striving for 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 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

Requirements

• High school diploma or equivalent
• 3+ years of experience in compliance, operations, or supervision role within the financial services industry
• Current FINRA Series 7/63/66 or equivalent required; ability to obtain a 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
• 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 succinctly and organized
• Highly motivated and self-directed
• Proficient working knowledge of Microsoft Word and Microsoft Excel

Benefits

• 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 Savings Plan with Employer Match Program 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 how, when, and where they want. We’re a diverse team of dynamic, insightful, and independent innovators 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).

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