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.
- Provide phone support from 7am-5pm CDT, M-F for all correspondent firms
- Answer daily e-mail inquiries for all correspondent firms and BDW clients
- Provide one on one training and support for all COR systems, policies and procedures
- Set up all terminal/system access for correspondent firm users as well as internal COR employees
- Thomson ONE
- POLU BETA logins for internal COR employees
- Retail (online access)
- Investpoint (Broker)
- Set up Rep codes/Branch
- Set up SCOM for Commission Schedules
- Process Ad Hoc fees for Correspondents
- Process Auditor Requests
- SSAE16/SOC2 from Thomson Reuters
- Provide BDW support
- Client calls and inquiries
- Handle Faxes, E-mails and letters for account liquidations and closure requests
- Monthly BDW carrying fees processed
- Back up phone support for Stock Receipts/P&S/Trade Processing & Clearance/Settlements/IRAs
- Track and Lift BORD limits for Correspondent Subs
- Assist conversion with onboarding and the wind down process for BDW firms
- Excellent oral and written communication skills, decision-making, analytical and problem-solving skills
- Knowledge of IRS, FINRA, SEC and MSRB rules and regulations
- Working knowledge of the securities industry, its products and operations
- Understanding of back office systems including but not limited to BETA, Thomson ONE, SunGard, and department policies and procedures
- Demonstrate the ability to provide quality and thorough customer service
- Successful completion of the FINRA Series 99 or 7 Securities Exam (or ability to complete within 6 months)
- 2+ years' customer service
- High School or equivalent
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.