Regulatory Compliance Financial Services Counsel

Join Our Team as an Attorney at Axiom

We are seeking a Financial Services Regulatory Counsel to join our Banking and Financial Services team. In this role, you will provide expert legal advice and support to clients on regulatory compliance and remediation matters, ensuring adherence to evolving financial services regulations. This position offers a unique opportunity to work on high-profile, on-site engagements with leading banking and financial institutions, driving compliance and risk management strategies. This is an existing vacancy.

Responsibilities:

• Drafting, reviewing, and negotiating regulatory documentation and compliance policies.
• Providing legal guidance on broker-dealer regulations, margin lending rules, and swap dealer compliance.
• Collaborating with internal teams, clients, and regulators on compliance, remediation, and onboarding projects.
• Managing regulatory compliance issues for clients in banking, financial services, and private markets.
• Staying ahead of industry trends and regulatory changes, including CFTC, FINRA, SEC, and state-regulated requirements, to provide proactive counsel.

Qualifications:

• Proven experience advising on new margin lending rules, broker-dealer regulations, and financial services compliance.
• Strong knowledge of swap dealer compliance, Swap Execution Facilities (SEFs), Alternative Trading Systems (ATSs), and direct market access (SEC Rule 15c3-5).
• Documented experience working with CFTC, FINRA, SEC, and other relevant financial regulations.
• Excellent communication, negotiation, technology, and problem-solving skills.
• Juris Doctor (JD) degree or equivalent and licensed to practice law in New York.

Preferred Skills:

• Experience with equipment financing in industrials, AML/KYC, and client onboarding for private markets or alternative investment managers.
• Exposure to state-regulated industries, including insurance.
• On-site availability in New York for client engagements.

Compensation:

The estimated total compensation for full-time Axiom attorney roles is $104,500-325,000 per year and for non-attorney roles is $71,250-309,750 per year. Compensation decisions are based on various factors, including, but not limited to, experience, skills, certifications, location, and business needs. Employees may be eligible for additional benefits, including health, dental, and vision insurance; paid holidays and PTO; flexible work arrangements; and professional development opportunities and tools.

Diversity is core to our values and we are proud to be an equal opportunity employer. Axiom ensures equal employment opportunity in recruitment and employment, without discrimination or harassment on the basis of race, color, nationality, national or ethnic origin, religious creed or belief, political opinion, sex, gender, gender identity, pregnancy or maternity, age, disability, alienage or citizenship status, marital status, genetic predisposition or carrier status, sexual orientation, military service, or any other characteristic protected by applicable law. Axiom prohibits and will not tolerate any such discrimination or harassment.