Job Summary and Opportunity:
The Asset Transfers Associate at Axos Clearing performs a variety of brokerage transfer related processes and services. The ideal candidate possesses brokerage operations experience in the financial services industry, coupled with customer service experience.


The Asset Transfers Department processes incoming and outgoing brokerage account transfer requests. The processing aspect includes a detailed review of transfer requests and coordination with corresponding firms and other financial institutions to ensure receipt or delivery of assets. Responsibilities:

• Review documentation and process requests
• Subject matter expert in your team\xe2\x80\x99s discipline
• Assist in mentoring, coaching, and training team members
• Interface with a variety of systems and departments to resolve tasks
• Ability to interact and communicate in a professional and friendly manner with business partners across the organization and the financial industry
• Take initiative to participate in, and manage special projects and assignments that align to departmental and firm goals
• Maintain a high degree of regulatory compliance and escalate any potential risk
• Any other duties or assignments directed by management

Requirements:

• High school diploma
• 2+ years in financial services industry
• Knowledge of Securities Industry Rules and Regulations

Preferred:

• Active FINRA Series 99 o 7 licenses

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!


A targeted annual base salary of USD $23.00/Hr. - USD $25.26/Hr., based on the experience, skills, and education/certification required for this position. Eligibility for a discretionary semi-annual incentive compensation plan, based upon performance, payable in cash and/or share grants (RSU\xe2\x80\x99s) that may vest over time. The annual discretionary target bonus percentage is up to 10%.


Axos benefits and perks include:

• 
  3 weeks\xe2\x80\x99 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

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.