Senior Compliance Analyst – Supervision & Oversight

Axos Bank

Sr. Compliance Analyst supporting oversight, supervision, and regulatory compliance for Axos, a digital-first financial services company.

Posted 8/12/2026full-timeCentennial • Colorado • 🇺🇸 United StatesSenior💰 $68,640 - $84,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance and oversight within the financial services industry, with a strong focus on regulatory adherence, policy development, and risk management. Proficient in creating actionable compliance initiatives and maintaining collaborative relationships with internal stakeholders.

Highest-signal resume keywords

FINRA Series 7/63/66Compliance Initiatives ExecutionSecurities Rules KnowledgeMicrosoft Word ProficiencyMicrosoft Excel Proficiency

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

ComplianceRisk ManagementPolicy DevelopmentRegulatory Guidance InterpretationAnalytical ResearchProblem-SolvingRecord MaintenanceTesting ProceduresOnboarding SupportCommunication Management

Soft Skills

Oral CommunicationWritten CommunicationCritical ThinkingSelf-MotivationCollaboration

Certifications & Qualifications

FINRA Series 7FINRA Series 63FINRA Series 66Series 24 (Ability to Obtain)

Industry Keywords

Financial ServicesOversight ProgramRegulatory RegistrationsEmployee ComplianceRisk MitigationCompliance PoliciesE-VerifyCredit CheckBackground CheckPre-Employment Drug Screening

About the role

Key responsibilities & impact

Assist with implementation and support of the Company’s Oversight & Supervision program
Update company and employee regulatory registrations
Monitor and maintain records associated with employee compliance
Create and maintain collaborative relationships with internal business partners
Conduct testing of policies and procedures for multiple departments to manage and mitigate risk
Develop and utilize supervision reports and processes
Draft and update procedures
Support onboarding of new employees
Summarize results and provide timely feedback to management
Identify and escalate trends
Manage incoming and outgoing communications

Requirements

What you’ll need

High school diploma or equivalent
3+ years of experience in compliance, operations, or supervision within the financial services industry
Current FINRA Series 7/63/66 or equivalent required
Ability to obtain a Series 24 within 120 days if not already held
Working knowledge of securities rules, laws, and regulations
Experience creating, enhancing, and executing 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 and ability to summarize findings succinctly and in an organized manner
Highly motivated and self-directed
Proficient working knowledge of Microsoft Word and Microsoft Excel
Successful completion of credit check, criminal background check, and pre-employment drug screening required
Must meet employment eligibility requirements verified through E-Verify

Benefits

Comp & perks

Eligible for an Annual Discretionary Cash Bonus Target: 5%
Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 5%
Medical, Dental, Vision, and Life Insurance
Paid Sick Leave
3 weeks’ Vacation
Holidays (about 11 a year)
HSA or FSA account
Other voluntary benefits
401(k) Retirement Saving Plan with Employer Match Program
529 Savings Plan
Employee Mortgage Loan Program
Free access to an Axos Bank Account with Self-Directed Trading