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Senior Compliance & Oversight Analyst
Job in
Centennial, Arapahoe County, Colorado, USA
Listed on 2026-08-17
Listing for:
Axos Clearing LLC
Full Time
position Listed on 2026-08-17
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Axos Clearing LLC is seeking an Oversight & Supervision Principal to support the Company’s regulatory program, including filings, employee compliance, risk analysis, testing and surveillance, review of records and training. The role emphasizes collaboration with internal partners to ensure timely, accurate, and compliant processes across the firm.
A high school diploma and 3+ years in compliance-related roles are required, with FINRA Series 7/63/66 or equivalent and potential to obtain Series 24
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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