Axos Clearing LLC / Axos Financial is hiring a Sr. Compliance Analyst to play a critical role in our future. You'll work with compliance personnel and business units to address securities industry-related risks in an ever-changing regulatory environment. Your primary objective is to support the Firm, compliance staff, and peers to assist in achieving compliance with applicable securities laws, regulations, and rules.

What You'll Do

Assist the CCO and Compliance staff with regulatory change management, including monitoring changes and updates to securities rules and laws, interpreting current and proposed rules, and maintaining and drafting internal policies and supervisory procedures.
Assist compliance staff with addressing regulatory requests including processing inquiries, conducting research, collecting data and documents, and drafting formal responses.
Provide advisement to peers and leaders as a subject matter expert regarding regulatory securities compliance matters.
Advise business partners on the application of compliance requirements for new products and services, process development, remediation, and improvement, and changes in law or regulation.
Serve as compliance liaison with internal departments relative to other activities that impact each area (Client Services, Financial Controls, Technology).
Contribute to the maintenance of policies and procedures.
Build and develop relationships with key business units including Legal, Risk Management, Finance and Accounting, and Operations.
Develop and enhance regular and on-going compliance-related training and resources.

What We're Looking For

Bachelor’s degree in Finance, Accounting, or relevant industry experience
2+ years of experience in a compliance, operations, or supervision role in a financial services organization
Possessing, or ability to work toward possessing, an in-depth knowledge of current FINRA, SEC, state and related regulations and rules

Nice to Have

Active FINRA Series 7 license
Excellent written and verbal communication skills including an ability to clearly provide written reports that accurately and clearly summarize issues and present solutions
Experience creating, enhancing, or executing innovative compliance initiatives or programs
Comfortable interpreting regulatory guidance to create actionable, relatable policies and procedures
Proven ability to influence others’ actions and decisions without expressing authority
Proven ability to develop and maintain strong internal and external business relationships

Team & Environment

You will work with compliance personnel and business units, reporting to the CCO and Compliance staff.

Benefits & Compensation

Compensation range: $68,640.00/Yr. - $80,000.00/Yr.
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

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.