Regulatory Compliance Financial Services Counsel

Axiom; New York (NY); On-site; USD 104,500 - 325,000; Full time

Benefits offered by this job

Health, dental, and vision insurance

Paid holidays and PTO

Flexible work arrangements

Professional development opportunities

Job summary

Axiom seeks 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, remediation matters, and evolving financial regulations, with on-site engagements for leading financial institutions.

Responsibilities include drafting regulatory documents, advising on margin lending rules, and collaborating with regulators. Strong NY JD and experience with CFTC/FINRA/SEC are required.

Qualifications

• Proven experience advising on new margin lending rules, broker-dealer regulations, and financial services compliance.
• Documented experience working with CFTC, FINRA, SEC, and other relevant financial regulations.
• Excellent communication, negotiation, technology, and problem-solving skills.
• Licensed to practice law in New York.

Responsibilities

• Draft regulatory documentation and compliance policies.
• Provide guidance on broker-dealer regulations, margin lending rules, and swap dealer compliance.
• Collaborate with internal teams, clients, and regulators on compliance, remediation, and onboarding projects.
• Manage regulatory compliance issues for clients in banking, financial services, and private markets.
• Stay ahead of industry trends and regulatory changes (CFTC, FINRA, SEC, state requirements) to provide proactive counsel.

Skills

Regulatory compliance

Broker-dealer rules

CFTC/FINRA/SEC

Negotiation

Communication skills

Legal research

Education

Juris Doctor (JD) degree

Job description

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.

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.

Qualifications:

• 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.

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.

• health, dental, and vision insurance
• paid holidays and PTO
• flexible work arrangements
• 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.