Compliance Officer

7 days ago

San Diego, California, United States axosbank Full time
About This Role

We are seeking a highly skilled Compliance Officer to join our team at Axos Bank. As a key member of our Compliance Management System Program, you will be responsible for developing and implementing compliance programs and procedures to ensure our bank products and services comply with federal and state laws and regulations.

Key Responsibilities
  • Develop and implement compliance programs and procedures to ensure compliance with federal and state laws and regulations.
  • Identify potential areas of compliance vulnerability and risk, and develop corrective action plans to address these issues.
  • Provide guidance and support to business units on compliance matters, including regulatory change management and transactional testing.
  • Assess the effectiveness of existing review scope and develop new or enhanced approaches to increase the effectiveness of the CMS Program and Regulatory Change Management Program.
  • Participate in business unit touchpoint meetings to communicate results and action steps.
  • Identify automation initiatives through data-driven compliance monitoring to streamline processes, including model validation, reporting, and working with data analytics to identify business requirements and develop alerts.
  • Review the effectiveness of existing alerts and ensure timely completion.
  • Participate in task forces to develop marketing campaigns, disclosures, new products, and customer-facing or escalated regulatory questions.
  • Address regulatory concerns and identify solutions, providing response and/or guidance to business units, vendors, etc.
  • Develop and/or own Management Directives and Policies for submission to Management/Board Committees.
  • Serve as Compliance Coordinator, providing guidance aligned with Policy requirements.
  • Present and participate in Compliance Management Committee. Support OCC examinations as needed.
Requirements
  • Bachelor's degree.
  • 3+ years of experience in banking, mortgage banking, audit, or regulatory compliance.
  • Experience in loan-level documentation review and transaction analysis.
What We Offer
  • 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.

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.

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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