Sr. Compliance Analyst

at  AXOS BANK

Axos Bank
Target Range:
$70,000.00 - $80,000.00
Actual starting pay will vary based on factors including, but not limited to, geographic location, experience, skills, specialty, and education.
Eligible for an Annual Discretionary Cash Bonus Target: 10%
Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 10%
These discretionary target bonuses may be awarded semi-annually based upon your achievement of performance goals and targets.
About This Job
Conduct compliance risk assessments, quality assurance reviews, compliance monitoring processes, and company-wide compliance training, covering high risk activities. Support business units compliance, marketing requests and regulatory change management and other duties as assigned.

Responsibilities:

• Conducts compliance reviews, scheduled loan level documentation, transactional testing, risk assessments on lending products and services through focused and random sample basis
• Prepares written reports detailing findings and recommendations for changes or enhancement to policies, procedures and work flow
• Participate in touchpoint meetings with business unit leaders and communicate regulatory change management
• Perform QA continuous monitoring of regulatory compliance through the data driven compliance reporting processes
• Perform review and approval of marketing and advertising collateral items (i.e. Axos and third party) within established SLA’s
• Work directly with various business units and third parties to ensure risk assessments are completed in compliance with regulatory requirements and Axos policies.
• Evaluate process maps, procedures, policies, and management directives for accuracy and completeness
• Proactively identify, analyze, summarize and communicate improvements to compliance procedures and programs.

Requirements:

• Bachelor’s degree
• 3+ years’ in banking/mortgage banking/audit/regulatory compliance
• 1+ year’s of Consumer Lending Underwriting
• Experience at loan level documentation review and transaction analysis Understanding of all lending compliance regulations
• Understanding of banking regulatory, audit and compliance programs for deposit compliance as it relates to federally regulated banks

Axos Employee Benefits May Include:

• 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.
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

• Conducts compliance reviews, scheduled loan level documentation, transactional testing, risk assessments on lending products and services through focused and random sample basis
• Prepares written reports detailing findings and recommendations for changes or enhancement to policies, procedures and work flow
• Participate in touchpoint meetings with business unit leaders and communicate regulatory change management
• Perform QA continuous monitoring of regulatory compliance through the data driven compliance reporting processes
• Perform review and approval of marketing and advertising collateral items (i.e. Axos and third party) within established SLA’s
• Work directly with various business units and third parties to ensure risk assessments are completed in compliance with regulatory requirements and Axos policies.
• Evaluate process maps, procedures, policies, and management directives for accuracy and completeness
• Proactively identify, analyze, summarize and communicate improvements to compliance procedures and programs