Regulatory Compliance Financial Services Counsel

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.

About Axiom

Axiom has been pioneering the alternative legal services industry since 1998, serving over 1,500 legal departments globally. We offer innovative solutions combining top-tier legal talent with advanced AI tools, addressing complex legal matters across 12 practice areas for clients ranging from Fortune 100 to small and medium-sized businesses. Our commitment to diversity and inclusion is reflected in our Talent NPS score of +71% and Client NPS score of +64%. Join us to be part of a forward-thinking community dedicated to excellence and career growth.