Financial Services Regulatory Counsel — NY On-Site

Axiom Talent Platform; New York (NY); Sur place; USD 105 000 - 325 000; Plein temps

Résumé du poste

Axiom is seeking a Financial Services Regulatory Counsel to join our Banking and Financial Services team in New York. You will provide expert legal advice on regulatory compliance and remediation matters for banking and financial services clients, including broker-dealer and swap dealer requirements, with on-site engagements.

The role requires a JD, NY license, and strong knowledge of CFTC, FINRA, SEC rules, and experience advising on margin lending and regulatory documentation.

Qualifications

• Proven experience advising on new margin lending rules, broker-dealer regulations, and financial services compliance.
• Strong knowledge of swap dealer compliance, SEFs, 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.
• JD or equivalent and licensed to practice law in New York.

Responsabilités

• 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.

Connaissances

Regulatory compliance

Financial services

Communication

Negotiation

Problem-solving

Legal research

On-site availability

Formation

Juris Doctor (JD)

Description du poste

Axiom is seeking a Financial Services Regulatory Counsel to join our Banking and Financial Services team in New York. You will provide expert legal advice on regulatory compliance and remediation matters for banking and financial services clients, including broker-dealer and swap dealer requirements, with on-site engagements.

The role requires a JD, NY license, and strong knowledge of CFTC, FINRA, SEC rules, and experience advising on margin lending and regulatory documentation.