Sr. Compliance Analyst

Job Summary and Opportunity
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
• 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
The Oversight & Supervision Principal will be responsible for a wide array of activities but will ultimately be tasked with:

• 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

Other responsibilities include:

• Summarizing results and providing timely feedback to management
• Identifying and escalating trends
• Effectively managing incoming and outgoing communications

Requirements

• 3+ years of experience in compliance, operations, or supervision role within the financial services industry
• Working knowledge of securities rules, laws, and regulations
• 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
• 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 Include

• Compensation for this position includes a Semi-Annual Bonus Plan
• 3 weeks' Vacation, Sick leave, and Holidays (about 11 a year); Medical, Dental, Vision, Life insurance and more
• 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 Self-Directed Trading

APPLY DIRECTLY FOR CONSIDERATION
Born digital, Axos Bank has reinvented the banking model and grown to over $18.7 billion in assets since our founding in 2000. With a broad and ever-growing range of financial products, Axos Bank is rated among the top 5 digital banks in the country! Axos Financial is our holding company and publicly traded on the New York Stock Exchange under the symbol "AX" (NYSE: AX).
We bring together human insight and digital expertise to anticipate the needs of our customers. Our team members are innovative, technologically sophisticated, and motivated to achieve.
Learn more about working here!
Pre-Employment 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 Bank is an Equal Opportunity employer. We are committed to providing equal employment opportunities to all employees and applicants without regard to race, religious creed, color, sex (including pregnancy, breast feeding and related medical conditions), gender, gender identity, gender expression, sexual orientation, national origin, ancestry, citizenship status, military and veteran status, marital status, age, protected medical condition, genetic information, physical disability, mental disability, or any other protected status in accordance with all applicable federal, state and local laws.
Job Functions and Work Environment:
While performing the duties of this position, the employee is required to sit for extended periods of time. Manual dexterity and coordination are required while operating standard office equipment such as computer keyboard and mouse, calculator, telephone, copiers, etc.
The work environment characteristics described here are representative of those an employee may encounter while performing the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of this position.
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