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Agent guide: [/agents.md](https://www.wearedevelopers.com/agents.md). --- # Artificial Intelligence - **Company:** Axos Bank - **Location:** Centennial, CO, United States (Remote available) - **Experience:** Expert - **Salary:** $69,000.0 - $84,000.0 - **Contract:** Permanent contract - **Skills:** Microsoft Word, Microsoft Excel, Artificial Intelligence, Systems Engineering, Big Data, Code Review - **Published:** August 11, 2026 - **Apply:** https://www.builtincolorado.com/auth/login?destination=/job/sr-compliance-analyst-supervision-oversight/10647704 ## About the Role * 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) ## Description 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. 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