VP, Trade Reporting

Axos Clearing LLC

Target Range:

$110,000.00/Yr. - $135,000.00/Yr.

Actual starting pay will vary based on factors including, but not limited to, geographic location, experience, skills, specialty, and education.

Eligible for an Annual Discretionary Cash Bonus Target: 12.5%

Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 12.5%

These discretionary target bonuses may be awarded semi-annually based upon your achievement of performance goals and targets.

About This Job

We are seeking an individual with 5+ years of brokerage and trade reporting experience to join our team. This is a key role within Axos Clearing requiring collaboration and commitment to ensure the accuracy of the firm's trade reporting functions. Responsible for ensuring the overall integrity of trade and position reporting submitted to the regulators for the Axos broker-dealers, as well as assisting correspondent broker-dealer firms. The role is responsible for understanding the firm's core businesses, how systems work and interact, various operational flows supporting the different trading flows, and the trade reporting requirements of supported products. This understanding is essential to determining the overall completeness and accuracy of the reporting we submit. The role will act as a primary interface between internal trading teams, operations teams, compliance, and other business partners that have an impact on trade reporting. You will interact with regulators and correspondent firms and respond to inquiries and examinations, as needed.

• Experience and understanding of trade and position reporting requirements including but not limited to CAT, CAIS, Best Execution & Interpositioning, Rule 605, and Rule 606. In addition, experience with Equities and Options trading and/or fractional trade processing would be ideal.
• Managing intra-day tracking of key activities associated with trade reporting, including, but not limited to SEC/FINRA /Large Option Position Reporting/Short Interest, CAT/CAIS, TRACE, and MSRB, as applicable.
• Strong knowledge of securities customer and account Information systems and/or order routing flows and their impact on downstream systems preferred.
• Demonstrated ability to participate in projects and successfully drive positive results. Proven ability to find solutions to problems.
• Proactively review data across several reporting platforms to identify potential discrepancies. This includes analyzing industry details available to identify critical data points and areas for review and possible improvement in our existing processes.
• Ability to act as subject-matter expert while supporting the firm in responding to inquiries, audits, and/or exams from regulators promptly. Previous experience with FINRA TMMS/TFCE examinations is a plus.
• Ability to document detailed business requirements and use cases for rule amendments or new rule implementations.
• Series 7 and Series 24 preferred.
• Excellent verbal and written communication skills and the ability to present material to senior leaders and peers.

Axos Employee Benefits May Include:

• Medical, Dental, Vision, and Life Insurance
• Paid Sick Leave, 3 weeks' Vacation, and Holidays (about 11 a year)
• HSA or FSA account and other voluntary benefits
• 401(k) Retirement Saving Plan with Employer Match Program and 529 Savings Plan
• Employee Mortgage Loan Program and free access to an Axos Bank Account with Self-Directed Trading

About Axos

Born digital-first, Axos delivers financial tools and services that allow individuals, small businesses, and companies to access and manage their money how, when, and where they want. We're a diverse team of dynamic, insightful, and independent innovators who are excited to provide technology-driven solutions that offer unbeatable value to our customers.

Axos Financial is our holding company and is publicly traded on the New York Stock Exchange under the symbol "AX" (NYSE: AX).

Learn more about working at Axos

Pre-Employment Background Check and Drug Test:

All offers are contingent upon the candidate successfully passing a credit check, criminal background check, and pre-employment drug screening, which includes screening for marijuana. Axos Bank is a federally regulated banking institution. At the federal level, marijuana is an illegal schedule 1 drug; therefore, we will not employ any person who tests positive for marijuana, regardless of state legalization.

Equal Employment Opportunity:

Axos 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.

Job Functions and Work Environment:

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.

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.