Senior Financial Services Regulatory Counsel

Axiom Law; 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

Professional development

Job summary

Axiom seeks a Financial Services Regulatory Compliance Counsel to advise leading banking and financial-institution clients on regulatory affairs, remediation, and compliance programs. The role emphasizes banking regulation, broker-dealer oversight, margin lending, and market regulation. Ideal candidates bring 5+ years in financial-services regulatory work, JD, and active U.S.

bar admission. You will collaborate with cross-functional teams to implement robust regulatory frameworks and support

Qualifications

• 5+ years in financial-services regulatory compliance or related fields.
• Experience advising on banking regulation, broker-dealer regulation, or financial markets compliance.
• Strong understanding of SEC, CFTC, and FINRA rules.

Responsibilities

• Advise banking and financial-services clients on regulatory compliance and remediation.
• Counsel on margin lending, broker-dealer regulation, and related supervisory obligations.
• Support regulatory examinations and responses to inquiries.
• Assist in implementing regulatory frameworks, controls, policies, and procedures across teams.
• Advise on cash management and banking products in regulatory contexts.

Skills

Regulatory compliance

Banking regulation

Broker-dealer regulation

Margin lending rules

Regulatory strategy

Education

Juris Doctor (JD)

Job description

Axiom seeks a Financial Services Regulatory Compliance Counsel to advise leading banking and financial-institution clients on regulatory affairs, remediation, and compliance programs. The role emphasizes banking regulation, broker-dealer oversight, margin lending, and market regulation. Ideal candidates bring 5+ years in financial-services regulatory work, JD, and active U.S.

bar admission. You will collaborate with cross-functional teams to implement robust regulatory frameworks and support