Regulatory Compliance Financial Services Counsel

Axiom; New York (NY); On-site; USD 195,000 - 325,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

Paid holidays

PTO

Flexible work arrangements

Professional development

Job summary

Axiom seeks a Financial Services Regulatory Compliance Counsel to support leading banking and financial-institution clients with regulatory advisory, compliance, and remediation matters from our New York team.

Ideal candidates have deep experience in banking and broker-dealer regulation, margin lending, and financial-markets regulation, with a JD and active bar admission, and a proven ability to translate complex rules into practical programs across legal, compliance, risk, and operations.

Qualifications

• 5+ years of experience in financial-services regulatory compliance, banking regulation, broker-dealer regulation, or financial-markets compliance.
• Deep knowledge of margin lending rules and broker-dealer responsibilities resembling a Series 24 supervisory role.
• Experience advising on regulatory compliance or remediation within banks, broker-dealers, investment banks, or similar institutions.
• Strong understanding of SEC, CFTC, and FINRA frameworks and expectations.
• Excellent communication, stakeholder-management, and problem-solving skills.
• JD degree with active bar admission in a U.S. jurisdiction.

Responsibilities

• Advise banking and financial-services clients on regulatory compliance and remediation initiatives.
• Provide counsel on margin lending requirements, broker-dealer regulation and related obligations.
• Support regulatory examinations, internal reviews, and responses to inquiries.
• Collaborate with legal, compliance, risk, operations, and business teams to implement regulatory frameworks.
• Advise on cash management, banking products, and associated regulatory requirements.
• Offer practical guidance aligned with SEC, CFTC, FINRA expectations.

Skills

Regulatory compliance

Banking regulation

Broker-dealer regulation

Financial markets regulation

Regulatory examinations

Stakeholder communication

Education

Juris Doctor (JD)

Job description

We are seeking a Financial Services Regulatory Compliance Counsel to support leading banking and financial-institution clients with regulatory advisory, compliance, and remediation matters. This role is ideal for an attorney with deep experience in banking regulation, broker-dealer compliance, margin lending, and financial-markets regulation.

Join Our Team as an Attorney at Axiom

Responsibilities:

• Advising banking and financial-services clients on regulatory compliance, remediation initiatives, and evolving financial-services regulations.
• Providing counsel on margin lending requirements, broker-dealer regulation, and related supervisory and compliance obligations.
• Supporting compliance matters involving swap dealers, SEFs, ATSs, and direct market access, including SEC Rule 15c3-5.
• Partnering with legal, compliance, risk, operations, and business teams on the implementation and enhancement of regulatory frameworks, controls, policies, and procedures.
• Supporting regulatory examinations, internal reviews, remediation projects, and responses to regulatory inquiries.
• Advising on cash management, banking products and services, and associated regulatory requirements.
• Providing practical guidance informed by requirements and expectations of the SEC, CFTC, FINRA, and other applicable regulators.

Qualifications:

• 5+ years of relevant experience in financial-services regulatory compliance, banking regulation, broker-dealer regulation, or financial-markets compliance.
• Demonstrated experience with margin lending rules and broker-dealer compliance, including responsibilities comparable to a Series 24–level supervisory role.
• Experience advising on regulatory compliance or remediation projects within a bank, broker-dealer, investment bank, asset manager, or other financial institution.
• Strong understanding of the regulatory framework administered by the SEC, CFTC, and FINRA.
• Excellent communication, stakeholder-management, technology, and problem-solving skills.
• Juris Doctor (JD) degree and active bar admission in an applicable U.S. jurisdiction.

Compensation:

The estimated total compensation for full-time Axiom attorney roles is $104,500-325,000 per year and for non-attorney roles is $71,250-309,750 per year. Compensation decisions are based on various factors, including, but not limited to, experience, skills, certifications, location, and business needs. Employees may be eligible for additional benefits, including health, dental, and vision insurance; paid holidays and PTO; flexible work arrangements; and professional development opportunities and tools.

About Axiom:

For over 25 years, Axiom has pioneered the alternative legal services industry, now serving more than 1,500 legal departments globally with our unique blend of world-class legal talent and advanced AI tools, delivering innovative solutions ranging from that combine top-tier talent with cutting-edge technology. We tackle complex legal matters across 12 practice areas for clients ranging from Fortune 100 to SMBs, empowering our legal professionals to engage in meaningful work that advances their careers. Our Talent NPS score of +71% and our Client NPS score of +64% highlight our commitment to excellence (Reported scores were Axiom’s average for 2025 – the legal industry average NPS score is +35%). Join our forward-thinking community where you’ll keep your career dynamic and multi-faceted, be part of a company that values agility, collaboration, and excellence, and love both the law and your life.

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 inclass alterative legal services.

Diversityis core to our values and we are proud to be an equal opportunity employer. Axiom ensures equal employment opportunity in recruitment and employment, without discrimination or harassment on the basis of race, color, nationality, national or ethnic origin, religious creed or belief, political opinion, sex, gender, gender identity, gender identity status, pregnancy or maternity, age, disability, alienage or citizenship status, marital (or civil or other partnership recognized by law) status, genetic predisposition or carrier status, sexual orientation, military service, or any other characteristic protected by applicable law. Axiom prohibits and will not tolerate any such discrimination or harassment.

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 [e-mail].

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 availablehere.

Employment with Axiom may be contingent upon successful completion of a background check, providing proof of identity, and possessing the necessary legal authorization to work. Pursuant to the San Francisco Fair Chance Ordinance, NY Fair Chance Act, and Los Angeles Fair Chance Initiative, we will consider for employment qualified applicants with arrest and conviction records.