VP, Enterprise Risk Management (Securities)
Axos Bank
Date: 16 hours ago
City: Centennial, Colorado
Salary:
$107,100
-
$135,000
per year
Contract type: Full time
Axos Clearing LLC
Target Range:
$107,100.00/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: 20%
Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 20%
These discretionary target bonuses may be awarded semi-annually based upon your achievement of performance goals and targets.
About This Job
The VP, ERM will interface with the Securities Business and OMS’s to monitor and mitigate risks associated with the firm. This individual will be key in the development of risk procedures and evaluation of operational and business risk associated with the Securities business lines. Responsible for annual and quarterly risk assessments, reporting on alignment with risk appetite, monitoring emerging risks and partnering with business units throughout Securities to facilitate risk mitigation plans. Ensure compliance with all regulatory requirements and internal policies. Drive workflow improvements, lead projects and implement strategic goals for Securities operations..
Responsibilities:
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.
Target Range:
$107,100.00/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: 20%
Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 20%
These discretionary target bonuses may be awarded semi-annually based upon your achievement of performance goals and targets.
About This Job
The VP, ERM will interface with the Securities Business and OMS’s to monitor and mitigate risks associated with the firm. This individual will be key in the development of risk procedures and evaluation of operational and business risk associated with the Securities business lines. Responsible for annual and quarterly risk assessments, reporting on alignment with risk appetite, monitoring emerging risks and partnering with business units throughout Securities to facilitate risk mitigation plans. Ensure compliance with all regulatory requirements and internal policies. Drive workflow improvements, lead projects and implement strategic goals for Securities operations..
Responsibilities:
- Evaluate risk profile to ensure alignment with Board established risk appetite and strategy
- Update risk appetite statements, key risk indicators, and reporting to align to business objectives and strategy
- Prepare and deliver annual and quarterly risk assessments to assess, quantify, aggregate and present analysis on risk profile across products and risk categories (e.g. reputation, strategic, credit, transaction, interest rate, liquidity, compliance)
- Identify, evaluate, monitor, and mitigate operational, vendor, clearing and potential regulatory risk associated with RIA’s / IBD’s
- Develop Risk Monitoring tools designed to provide more visibility into firm exposure
- Create, enhance, and monitor reporting and business intelligence related to enterprise risk management, including integration of processes with risk system - RSA Archer.
- Develop and implement strategic goals for the team
- Ensure continuous improvement in operating procedures
- Bachelor's degree in finance, Accounting or relevant focus
- Minimum 7+ years of experience in a similar role
- Third Party Risk Management experience within Securities or Financial institution
- Strong understanding of Securities
- Risk system experience (RSA Archer)
- Proven experience leading and managing teams, including setting goals, providing mentorship, and driving performance to meet organizational objectives
- 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
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.
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