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: Actively pursue the effective completion of market and credit risk procedures and projects of the risk department to help measure, monitor, report, set limits, identify limit breaches and remediation.
Duties and Responsibilities:
- Daily reporting and monitoring of market risk level with a concentration on intraday position examination through periodic review of DTCC portal records, DTCC or ACT Trade Alerts or internal alerts
- Work to transition and integrate the ACT daily alert responsibility from Brokerage Operations to the Risk department
- Identify trade limit breaches, verify the breach facts, and take steps to excalate and follow up
- Work with other Risk team members to balance the workload of reports review and periodic analysis or reporting performed
- Intraday monitoring of RMIS risk module to review and flag changes in inventory positions and margin accounts
- Review begin-of-day risk reports and perform related procedures as needed
- Assist manager or CRO on special projects related to financial risk or portfolio margin
Qualificications Include:
- Bachelors degree in accounting, economics or finance
- Must hold an active FINRA Series 99 or higher
- Prior experience in clearing firm back office roles such as risk, operations, trading, margins, P&S or compliance/AML
- Proven analytical abilities in evaluating credit, margin or portfolio risks
- Ability to collaborate with others in a team environment and across departments
- Ability to work well in a stressful and time sensative environment
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.