Sr. Margin Analyst - Cash Management

Job Summary and Opportunity

Axos Securities provides clearing, custody and ancillary services to Introducing Broker Dealers (“IBDs”) and Registered Investment Advisors (“RIAs”) These services include the processing and settlement of securities transactions including equities, options, fixed income, mutual funds and alternative investments. In addition, Clearing custodies these securities for IBD and RIA customers. Clearing provides the extension of credit through margin loans and provides interest bearing sweep products to its customers. In addition, Clearing provides other products and services including technology solutions that assist IBDs and RIAs to effectively service their customers.

Responsibilities

• Process and approve fund disbursements from client accounts
• Protect the firm from risk exposure by monitoring accounts to ensure compliance with FINRA, SRO and Axos Clearing rules and regulations
• Prepare and issue margin and day-trading calls
• Prepare and issue cash money due calls
• File extension of time requests under Reg T
• Review various margin related reports to stay in compliance with FINRA rule 4210, REGT and other regulations
• Respond to client inquiries regarding buying power, funds available, day-trading and various other margin related topics

Requirements

• High school diploma
• 3 years' financial services
• Strong attention to detail
• Thorough knowledge of SEC, IRS, FINRA reporting require­ments, rules and regulations
• Ability to multi-task and prioritize
• Excellent communication skills
• MS Office Suite
• Strong analytical and problem-solving skills
• Ability to work independently 

Preferred:

• Bachelor's degree
• Margins Operations
• Series 7, 63, or 99 licenses

Axos Employee Benefits Include

• Compensation for this position includes a Semi-Annual Bonus Plan
• 3 weeks’ Vacation, Sick leave, and Holidays (about 11 a year); Medical, Dental, Vision, Life insurance and more
• 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 Self-Directed Trading

APPLY DIRECTLY FOR CONSIDERATION

Axos Clearing is a leading correspondent clearing firm serving independent broker-dealers in the retail, active-trading, and institutional markets. Axos Clearing also offers flexible custody solutions for Registered Investment Advisers (RIA) and is a subsidiary of Axos Financial publicly traded on the New York Stock Exchange under the symbol "AX" (NYSE: AX).

We bring together human insight and digital expertise to anticipate the needs of our customers. Our team members are innovative, technologically sophisticated, and motivated to achieve.

Learn more about working here!

Pre-Employment 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 Bank 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.

 

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