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.
- 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.
- 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: