Compliance Analyst

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 #J-18808-Ljbffr