Job Summary and Opportunity
Axos Securities is growing and this role will be the expert in this field. You will assess new and future products and services to identify possible compliance risks and create/implement associated mitigation plans.This will include the review and approval of all outgoing and incoming correspondence and sales literature/advertisement with providing modifications as needed. Also, staying up to date and providing direction for all applicable areas of responsibility including the rulemaking process, relevant enforcement actions and no-action letters, RIA exam priorities, and RIA best practices.
* Responsible for FinOp and financial reporting
* Direct, supervise, manage, and the subject-matter expert on clearing, custody, broker dealer, and RIA compliance
* Plan, facilitate, and execute all necessary testing and certification of the broker-dealer and RIA supervisory policies and procedures, including taking remediation steps as-needed
* Management of audits, including serving as the point of contact for regulators and internal auditors
* Review, management, and periodic update of the continuing education program for employees
* Create and implement company policies for internal reporting of compliance and risk to senior management and the Board of Directors
* Provision of initial onboarding and ongoing compliance training for new employees
* Audit colleagues' work to identify compliance issues and provide advice or training as needed
* Manage, direct, and control personnel management activities for the department
* Bachelor's degree
* 5+ years' direct experience in the field
* Extensive educational background and/or experience in Risk Management
* Strong analytical and problem-solving skills
* Work independently with sound decision-making and excellent oral and written communication/human relations skills
* An understanding and working knowledge of risk management systems, spreadsheet, and relational database software
* Strong managerial and organizational skills
* Working knowledge of EEO regulations
* Successful completion of the FINRA General Securities Representative Exam (Series 7) and Financial and Operations Principal Exam (Series 24)
* Familiarity with FINRA and SEC rules and regulations
* Advanced degree
APPLY DIRECTLY FOR CONSIDERATION
Born digital, Axos Bank has reinvented the banking model and grown to over $18.4 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!
A targeted annual base salary range of USD $167,500/Yr. - USD $175,000/Yr., based on the experience, skills, and education/certification required for this position. Eligibility for a discretionary semi-annual incentive compensation plan, based upon performance, payable in cash and/or share grants (RSU's) that may vest over time. The annual discretionary target bonus percentage is 35%.
Axos benefits and perks include:
* 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
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.
- Financial Industry Regulatory Authorities
- Series 7 General Securities Representative License (Stockbroker)
- Series 6 Investment Company And Variable Contracts License (Mutual Funds/Variable Annuities)
- Series 63 Uniform Securities Agent State Law License