Senior Financial Services Regulatory Counsel

Axiom; New York (NY); On-site; USD 105,000 - 325,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

Paid holidays

PTO

Flexible work arrangements

Job summary

Axiom, a leading provider of on-demand legal talent, seeks a Financial Services Regulatory Compliance Counsel in New York to advise banking and financial-institution clients on regulatory compliance, remediation, and evolving rules. This role targets deep experience in banking regulation, broker-dealer compliance, margin lending, and financial-markets regulation.

You will partner with legal, compliance, risk, operations, and business teams to implement and enhance regulatory frameworks, respond

Qualifications

• 5+ years in financial-services regulatory compliance or related fields.
• Experience with margin lending rules and broker-dealer regulation.
• Series 24-level supervisory responsibilities or equivalent experience.
• Active bar admission in a U.S. jurisdiction.
• Experience advising banks, broker-dealers, investment banks, asset managers, or other financial institutions.

Responsibilities

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

Skills

Regulatory compliance

Stakeholder management

Communication

Problem solving

Technology proficiency

Education

Juris Doctor (JD)

Job description

Axiom, a leading provider of on-demand legal talent, seeks a Financial Services Regulatory Compliance Counsel in New York to advise banking and financial-institution clients on regulatory compliance, remediation, and evolving rules. This role targets deep experience in banking regulation, broker-dealer compliance, margin lending, and financial-markets regulation.

You will partner with legal, compliance, risk, operations, and business teams to implement and enhance regulatory frameworks, respond