Axos Clearing is a leading, full-service correspondent clearing firm for more than 60 independent broker-dealers and 90,000 customers, headquartered in Omaha, Nebraska.
Axos Clearing is a wholly-owned subsidiary of Axos Financial, Inc. (NYSE: AX).
Our team members are innovative, technologically sophisticated, and motivated to achieve.
Duties and Responsibilities Include:
- Investigate customer activity via automated AML system and exception reports
- Contact and collaborate with introducing broker-dealer personnel to assess DD/CIP information
- Handle complex cases and prepare suspicious activity reports (SAR)
- Investigate internal referrals and make recommendations to AML management
- Review and analyze FINRA, SEC and other government-related requests
Qualifications Include:
- Bachelors degree in Finance, Economics or related field
- 2 or more years of BSA/AML experience
- Knowledge of BSA, FinCEN, FINRA, SEC or other application regulations
- Microsoft Office, Word, Excel
- Problem-solving, strong written and oral communication skills
- Ability to interact with peers, management and other external personnel
- Drive investigations and arrive at sound decisions
- CAMS Certification (preferred)
- Securities industry experience (preferred)
- FINRA Series 7 (preferred)
Apply directly for consideration as we are not using any outside agencies for any of our openings
Job Functions & Work Environment:
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.
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.
Equal Employment Opportunity:
Axos Clearing 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.