Securities & Prime Brokerage Counsel

Responsibilities

• Drafting, reviewing, and negotiating securities trading agreements, prime brokerage agreements, and related margin documentation.
• Providing legal guidance on margin lending regulations, FINRA Rule 4210, Regulation T, and Regulation U compliance.
• Collaborating with internal teams, trading desks, and clients on cross-asset transactions including swaps, options, futures, equities, and fixed income instruments.
• Managing regulatory compliance, risk mitigation, and operational issues for clients in financial services and capital markets.
• Staying ahead of industry trends and updated margin rules to provide proactive counsel.

Qualifications

• 3+ years of experience in securities law, prime brokerage, or financial services legal practice.
• Strong knowledge of U.S. securities regulations, including the Securities Act of 1933 and Securities Exchange Act of 1934.
• Proven track record of advising clients on securities trading agreements, margin lending, and regulatory compliance.
• Excellent communication, negotiation, technology, and problem-solving skills.
• Juris Doctor (JD) degree or equivalent and licensed to practice law in an applicable jurisdiction.

Preferred Skills

• Experience with fixed income and synthetic prime brokerage agreements.
• Hands-on experience integrating updated margin and credit regulations into transactional or advisory work.
• Familiarity with multi-asset trading agreements and cross-border transactions.

About Axiom

Axiom has been pioneering the alternative legal services industry since 1998, serving over 1,500 legal departments globally. We offer innovative solutions in 12 practice areas, helping clients ranging from Fortune 100 to small businesses manage legal needs efficiently. Axiom is committed to diversity and equal opportunity, ensuring a supportive environment for all employees.