Corporate Actions Associate

Corporate Actions 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.   

This position will be located in the Omaha, Nebraska office.

Job purpose

  • Review, process and communicate mandatory and voluntary corporate action events with accuracy to reflect the correct activity and/or position in the client account(s).

Duties and responsibilities

  • Process corporate action events accurately to update the client accounts as dictated by the terms of the event
    • Voluntary corporate actions – Tenders, Mergers, Unit Splits, Conversion of Preferred stock to common, Warrant & rights exercises, Put bonds and death puts
    • Mandatory corporate actions – Name changes, Mergers – Cash & Stock, bond lotteries, reverse splits, Municipal Defeasement, bond/note maturities, Bankruptcy
  • Review DTCC notifications of future corporate action events
  • Respond to email inquiries
  • Respond to phone inquiries
  • Daily reconciliation of suspense accounts


All qualifications must comply with provincial human rights legislation.

Qualifications include:

  • High School graduate
  • College degree or some college preferred or equivalent experience
  • Corporate Action experience preferred
  • Must pass FINRA Series 99 or 7 licensing exam
  • Achieve results with accuracy and precision
  • Strong excel skills
  • Ability to multi-task with accuracy
  • Ability to applied learned knowledge
  • Adept at learning new functions
  • Team oriented philosophy
  • Available for overtime as needed

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.