Job details

Sr. Oversight & Supervision Analyst

Get a free resume review

Axos Clearing LLC

Target Range:

$70,000.00/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: 5%

Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 5%

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

About This Job

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 and 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:

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

Qualifications:

High school diploma or equivalent
3+ years of experience in compliance, operations, or supervision role within the financial services industry
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
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 in a succinct and organized manner
Highly motivated and self-directed
Proficient working knowledge of Microsoft Word and Microsoft Excel

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 their money how, when, and where they want. We’re a diverse team of dynamic, insightful, and independent innovators who are 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).

Learn more about working at Axos

Pre-Employment Background Check and 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 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.

Average salary estimate

$75000 / YEARLY (est.)

min

max

$70000K

$80000K

If an employer mentions a salary or salary range on their job, we display it as an "Employer Estimate". If a job has no salary data, Rise displays an estimate if available.

What You Should Know About Sr. Oversight & Supervision Analyst, Axos Bank

Join Axos Clearing LLC as a Sr. Oversight & Supervision Analyst in our Centennial Office! This role is perfect for individuals who are eager to dive into the intricacies of compliance within the financial services industry. As a key part of our team, you’ll help implement and support our Oversight & Supervision program, ensuring regulatory filings, employee compliance, risk analysis, and testing & surveillance are executed with excellence. We're seeking an individual who enjoys developing collaborative relationships with various business partners and excels in monitoring employee compliance records. You’ll conduct extensive testing of policies and procedures across departments to manage and mitigate risks effectively. Your analytical skills will shine as you draft procedures and create supervision reports that drive our company’s success. Plus, you’ll be crucial in providing feedback to management based on your summaries of findings. With Axos, you gain not just a job, but an opportunity to grow, backed by competitive compensation and benefits, including a comprehensive health plan and a robust 401(k) retirement savings plan. If you're a motivated individual who thrives in a fast-paced environment and has a passion for compliance, we'd love for you to join our diverse and innovative team!

Frequently Asked Questions (FAQs) for Sr. Oversight & Supervision Analyst Role at Axos Bank

What are the primary responsibilities of a Sr. Oversight & Supervision Analyst at Axos Clearing LLC?

As a Sr. Oversight & Supervision Analyst at Axos Clearing LLC, your responsibilities will include assisting with the implementation of our Oversight & Supervision program, updating regulatory registrations, conducting employee compliance monitoring, and creating processes to mitigate risks. You’ll also be involved in drafting and updating policies, developing supervision reports, and collaborating with internal business partners to ensure adherence to compliance practices.