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, a wholly-owned subsidiary of Axos Financial, Inc. (NYSE: AX), will be rebranded Axos Clearing.
Our team members are innovative, technologically sophisticated, and motivated to achieve.
AML Analyst (TM)
Duties and Responsibilities of Anti-Money Laundering Analyst:
- Investigate and assess alerts for potential suspicious activity
- Contact introducing brokers to obtain further information regarding potentially suspicious customer activity
- Prepare SAR filings and present to SAR Committee
- Investigate internal referrals for possible SAR filings
- Alert supervisors to trends in possible suspicious customer behavior
- Document findings and basis for cases and alerts investigated
- Investigate FINRA, SEC and other government related requests
- Ability to apply learned knowledge
- Achieve results with accuracy and precision
- Apply sound analytical thinking
- Customer centric business philosophy and team oriented
- Excel at applying technology to business processes
- Strong work ethic and hands on approach
Apply directly for consideration as we are not using any outside agencies for any of our openings
Job Functions & Work Environment:
Equal Employment Opportunity: