VP, Compliance Officer

Overview

Axos Bank is seeking a Vice President (VP) Compliance Officer to ensure operations comply with regulatory requirements and internal policies. The role involves developing compliance programs, procedures, and corrective action plans to address issues and prevent recurrence. You will guide the team on regulatory compliance, risk management, and policy development to maintain a culture of compliance.

Location
:
Los Angeles, CA (and other eligible locations as listed in the job posting)

Respond to regulatory changes, oversee risk-based monitoring, and provide guidance to business units, vendors, and stakeholders as needed.

Responsibilities

• Oversight of scheduled loan level documentation reviews, regulatory change management communication, and transactional testing on all lending products through focused and random sample basis
• Assess the appropriateness of the existing review scope and develop new or enhanced approaches to increase effectiveness of the CMS Program & Regulatory Change Management Program
• Participate in business unit touchpoint meetings, communicate results, and outline required 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 for developing marketing campaigns, disclosures, new products, and customer-facing or escalated regulatory questions
• Address regulatory concerns as applicable and provide solutions 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

Qualifications

• Bachelor’s degree in finance, business administration, law, or equivalent work experience
• 5+ years of experience in banking compliance, risk management, or a related field
• Proven experience in a leadership or managerial role within compliance or risk management
• Deep understanding of banking laws, regulations, and compliance requirements
• Strong analytical abilities to assess regulatory impacts and identify compliance risks
• Meticulous attention to detail to ensure thorough compliance monitoring and reporting
• Excellent verbal and written communication skills for training staff and reporting to senior management
• Effective problem-solving abilities to develop and implement process improvements
• High ethical standards and integrity
• Commitment to staying updated on regulatory changes and industry best practices

Preferred

• Reg DD
• Reg E
• TCPA
• Retail and Marketing compliance
• Complaint management background

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).

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. Axos Bank is a federally regulated banking institution. At the federal level, marijuana is illegal; therefore, we will not employ any person who tests positive for marijuana, regardless of state legalization.

Equal Employment Opportunity:
Ax…