Sr. Compliance Analyst - Supervision & Oversight

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 our clients, employees, and the Company, striving 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

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

Skills

• 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

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 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