Senior leader guiding regulatory analysts in protecting investors and maintaining market integrity at Nasdaq. Overseeing compliance with listing standards and collaborating with regulatory bodies.
About the role
- Senior Vice President managing Axos's self-directed trading business, driving growth and client experience through strategic initiatives. Leading collaboration across departments for business innovation and efficiency.
Responsibilities
- Leads and manages the consumer retail trading business (Self-Directed Trading)
- Expand investment portfolio by defining strategic roadmap, implementing investment products, and enhancing processes and systems
- Own department P&L and directs the development and implementation of an annual budget
- Contributes to the overall profitability of the organization; implements cost controls, income generation and marketing efforts; monitors expenses to ensure compliance with budget.
- Partner with technology, marketing, compliance and other key stakeholders to deliver on strategic initiatives
- Work with Executive team to integrate trading tools into our mobile and desktop digital platform to deliver to a seamless banking and trading experience for our clients
- Oversees management reporting, which enables more definitive reviews of the portfolio
- Ensure that audits are in full regulatory compliance by allowing for a detailed review of processes and systems
Requirements
- Bachelor's degree
- Active FINRA Series 7 & 66 license
- Chartered Financial Analyst (CFA) and/or Certified Financial Planner (CFP®) designations preferred
- 10+ years of relevant experience in trading, investments, or financial services
- Proven product development experience in a fast‑paced environment
- Demonstrated success in leadership, business growth, and sales performance
- Strong work ethic with the ability to excel in a collaborative, team‑based environment
- Highly professional, consultative sales and client‑servicing approach
- Excellent written and verbal communication skills
- Proven ability to build and maintain relationships with investment clients and/or sophisticated business decision‑makers
- Experience with Salesforce, Orion, VEO, or comparable platforms preferred
- Fintech experience is a plus
Benefits
- 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
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