Securities & Prime Brokerage Counsel
External
Axiomtalentplatform · - Us - New YorkFull-timeOn-site4mo ago
ComplianceDocumentationNegotiation
Prepare for this interview
EliteAI-generated questions, company research, and talking points tailored to this role
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.
Requirements
- 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.
Benefits
About Axiom:Learn more about life at Axiom .Axiom is the global leader in high-caliber, on-demand legal talent. Covering North America, the UK, Europe, and APAC, we enable legal departments to drive efficiency and growth and meet the demands of today's business landscape with best in class alterative legal services.Upon request and consistent with applicable laws, Axiom will provide reasonable accommodations for individuals with disabilities who require accommodations to participate in each stage of the recruitment process. To request an accommodation, please contact benefits@axiomlaw.com.Axiom respects your privacy. For an explanation of the kind of information we collect about you and how it is used, our full data privacy notice is available here.Employment with Axiom may be contingent upon successful compleHealth insuranceDental insuranceVision insurancePaid time offFlexible schedule
Additional Information
Join Our Team as an Attorney at Axiom We are seeking a Securities & Prime Brokerage Counsel to join our Financial Services team. In this role, you will provide expert legal advice and support to our clients in securities trading and prime brokerage, ensuring compliance with evolving margin lending rules and regulatory frameworks. This position offers a unique opportunity to collaborate with leading financial institutions, advising on complex securities agreements, margin regulations, and cross-asset transactions. This is an existing vacancy.
Your Match
How well this role fits your profile.
Company Intel
What employees say
Worked at axiomtalentplatform? Share your experience