Artificial Intelligence

Axos Clearing is seeking an Oversight & Supervision Principal who will be responsible for assisting with the implementation and support of the Company’s Oversight & Supervision program, including regulatory filings, employee compliance, risk analysis, testing & surveillance, review of records and training. The Oversight & Supervision team utilizes current regulatory and best practices to protect our clients, employees, and the Company. The team strives to be known for their timeliness, thoroughness, and integrity., * Updating Company and employee regulatory registrations

• Monitoring and maintaining records associated with employee compliance
• Creating and maintaining collaborative relationships with internal business partners
• Conducting testing of the policies and procedures for multiple departments to manage and mitigate risk
• Developing and utilizing supervision reports and processes
• Drafting and updating procedures
• Providing support in the onboarding process of new employees
• Summarizing results and providing timely feedback to management
• Identifying and escalating trends
• Effectively managing incoming and outgoing communications, 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.

E-Verify and Right to Work Notices

Axos participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States. The E-Verify program is an internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services., The Senior AI Engineer will build and scale AI features, develop AI agents, and partner with product teams to enhance products for small businesses. Top Skills: Anthropic ApiDjangoLangchainMlopsOpenai ApiPostgresPydantic AiPythonReactRetrieval Augmented Generation (Rag) Auror

• High school diploma or equivalent
• 3+ years of experience in compliance, operations, or supervision role within the financial services industry
• Certifications, Licenses, Registrations: Current FINRA Series 7/63/66 or equivalent required, and if not already held, the ability to obtain a Series 24 within 120 days
• Working knowledge of securities rules, laws, and regulations
• Experience creating, enhancing, and executing innovative Compliance/Oversight initiatives
• Comfortable interpreting regulatory guidance to create actionable, relatable policies and procedures
• Exceptional oral and written communication, critical thinking, and problem-solving skills
• Ability to identify and solve complex and ambiguous issues
• Strong analytical research skills with the ability to summarize findings in a succinct and organized manner
• Highly motivated and self-directed
• Proficient working knowledge of Microsoft Word and Microsoft Excel, IER Right to Work Poster (English/Spanish)

E-Verify Participation Poster (English/Spanish)

Be an Early Applicant In-Office or Remote Hiring Remotely in Centennial, CO, USA 69K-84K Annually Senior level In-Office or Remote Hiring Remotely in Centennial, CO, USA 69K-84K Annually Senior level Lead and support the Oversight & Supervision program, manage regulatory registrations and employee compliance records, conduct policy and procedure testing, develop supervision reports, draft procedures, onboard employees, summarize findings for management, and escalate trends to mitigate regulatory and operational risk. The summary above was generated by AI Axos Clearing LLC

Target Range: $68,640/Yr. - $84,000/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: 5%

Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 5%

These discretionary target bonuses may be awarded semi-annually based upon your achievement of performance goals and targets., * 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., 2 Days Ago Remote or Hybrid 120K-150K Annually Senior level 120K-150K Annually Senior level Artificial Intelligence * Big Data * Retail * Security * Social Impact * Software * Business Intelligence Design, build, and optimise Auror’s real-time subject recognition platform across edge devices and cloud. Develop high-performance .NET/C# applications for ARM64 and AMD64 Linux devices, run containerised workloads, integrate computer-vision/ML inference and native libraries, ensure offline resilience and secure OTA updates, profile production systems for performance, and contribute to design, code reviews, and mentoring. Top Skills: .NetAlpineAmd64Arm64AzureC#Computer VisionContainersDistrolessDockerLinuxMl InferenceReactTypescript Auror

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