Regulatory Compliance Financial Services Counsel
External
Axiomtalentplatform · - Us - New YorkFull-timeOn-site1w ago
ComplianceDocumentationNegotiationRisk Management
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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.
Requirements
- 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.
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 completion of a background check, providing proof of identity,Health insuranceDental insuranceVision insurancePaid time offFlexible schedule
Additional Information
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.
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