Axos Bank

  • Anti Money Laundering Officer

    Job Locations US-NE-Omaha
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    Job ID
    2019-3023
    Job Type
    Regular Full-Time
  • Description

    Headquartered in Omaha, Nebraska, 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.   

     

    • Coordinate and oversee an effective Bank Secrecy Act/Anti-Money Laundering/OFAC Compliance Program that is in line with current industry best practices, regulatory guidance and requirements
    • Enhance, develop, implement and administer the BSA/AML/OFAC/USA Patriot Act monitoring systems to ensure that appropriate parameters are in place to identify suspicious and/or fraudulent activity
    • Establish and maintain an effective CDD/EDD risk rating and monitoring program to include initial and ongoing assessments, and review and analysis of unusual/suspicious account activity
    • Establish and maintain appropriate SAR investigation, review and reporting processes that promote consistent decisions; adequate investigation and research; and complete and detailed documentation
    • Conduct BSA/AML/OFAC risk assessments annually or as needed with consideration to products, services, customers, and geographies that may present BSA/AML/OFAC related risks
    • Responsible for ensuring all required regulatory reporting is conducted in a timely, accurate, and compliant manner, including the filing of Suspicious Activity Reports (SARs) and if necessary CTRs to FinCEN, as well as, FinCEN 314(a) and 314(b) procedures and reporting
    • Act as liaison/contact for FINRA and SEC examinations and internal and external independent reviews or audits of the BSA/AML/OFAC compliance Participate in response to exam and audit concerns and oversee corrective action of all related compliance deficiencies or violations
    • Provide updates and revisions to BSA/AML/OFAC policies and procedures and preparation of monthly BSA statistics for the Executive Management
    • Administer BSA/AML/OFAC related training programs to Management, and Employees and provide BSA/AML guidance and coaching to employees
    • Stay abreast of and analyze developing industry and compliance trends, scams or schemes, and changes to laws and regulations pertaining to BSA/AML/OFAC/USA Patriot   Advise Chief Legal Officer of emerging risks, new or amended laws, regulations, or agency guidance and recommend and implement changes and controls to mitigate those risks
    • Responsible for oversight of the testing, validation, and accuracy of the BSA/AML surveillance monitoring systems
    • Primary liaison to correspondent brokerage firms to advise them of BSA/AML issues identified at their firms
    • Refine and update BSA/AML risk metrics to facilitate in the identification of BSA/AML risks for the firm

    Key Skill Sets or Knowledge Requirements

    • Strong interpersonal, communication (written and verbal), and organizational skills with the ability to work independently, as well as, collaboratively within a team environment.
    • Ability to interact effectively with all levels of management, legal counsel, law enforcement, regulators and examiners while maintaining strict confidentiality.
    • Strong decision making, analytical and investigative abilities with attention to detail and accuracy. Proficient in Microsoft Office Suite (Word, Excel).

    Desired Career Experience & Education Requirements

    • 5+ years' of prior financial institution BSA/AML compliance experience in developing and implementing BSA/AML/CIP/OFAC policies, programs and procedures
    • Bachelor’s degree or equivalent
    • BSA/AML Certifications required
    • In-depth knowledge and understanding of automated surveillance monitoring systems

    Preferred: 

    • Series 7 and 24

    Apply directly for consideration as we are not using any outside agencies for any of our openings

     

    Equal Employment Opportunity: 

     

    Axos Clearing 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 & Work Environment:

     

    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.

     

    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.

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