Distribution Services Associate

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.   

Job purpose

Assist manager with planning, controlling, and reconciling all mailings from Axos Clearing or selected vendor(s) are completed on time, reconciled and documented. This position will also assist with coding and controlling the mailing instructions for individual accounts, branches, reps, or entire broker dealers.

Duties and responsibilities

• Act as a point of contact for correspondents, internal departments and vendors for all mailings.
  • Monthly / Quarterly Statements
  • Trade Confirmations
  • Advice Letters – Third Party
  • Address Change Letters
  • GOD Letters
  • Negative Consent Letters
  • Tax forms
  • 36 month letters
  • Change advices
• Identify mailing issues and resolve or escalate to manager as needed.
• Identify or suggest improves to procedures and processes.
• Provide guidance on mailing options for statement suppression, interested parties, alternate addresses, and duplicate statements/confirms, etc in response to inquiries from IBDs, internal departments or vendors
• Participate in the preparation of statements, confirmations and any mailing generated by Axos, BETA or any vendor on the behalf of Axos.
• Execute the written procedural documentation for all mailing processes.
• Reconcile and analyze mailing transactions to ensure activity is valid and consistent.

Qualifications

• Pass FINRA Series 99 licensing exam
• Familiarity with the securities industry including familiarity with FINRA and SEC rules and regulations is preferred
• Strong analytical, decision-making, oral and written communication and human relations skills.
• Ability to work independently.
• Achieve results with accuracy and precision
• Strong excel skills
• Ability to multi-task with accuracy
• Ability to apply learned knowledge
• Adept at learning new functiions

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.