Senior Securities & Prime Brokerage Counsel - Flexible

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

Avantages offerts par ce poste

Health insurance

Dental plan

Vision insurance

Paid holidays

PTO

Flexible work arrangements

Professional development opportunities

Résumé du poste

Axiom seeks a Securities & Prime Brokerage Counsel to support financial-services clients on complex securities trading, financing, and regulatory matters. The role requires hands-on experience with prime brokerage, margin lending, trading agreements, and related rules.

Ideal candidates have documented experience applying margin rules in transactional or advisory work, and familiarity with fixed income and synthetic prime brokerage agreements.

Qualifications

• 5+ years in securities, prime brokerage, broker-dealer regulation, securities financing, derivatives or related financial-services practices.
• Hands-on experience advising on prime brokerage and margin lending, including margin-rule developments.
• Strong experience with multi-asset trading documentation (swaps, options, futures, equities, fixed income).
• Knowledge of FINRA Rule 4210, Regulation T, Regulation U and related margin/credit requirements.
• Experience in securities law and underwriting under the Securities Act of 1933 and the Securities Exchange Act of 1934.

Responsabilités

• Advise clients on prime brokerage, securities financing, margin lending, and trading matters.
• Draft, review, negotiate, and interpret prime brokerage agreements and related trading documentation.
• Advise on margin and credit requirements and regulatory updates.
• Support trading agreements across asset classes including swaps, options, futures, equities, and fixed income.
• Provide guidance on securities underwriting and compliance under the Securities Act of 1933 and the Securities Exchange Act of 1934.
• Collaborate with business, risk, credit, compliance, operations and legal teams to manage risk.
• Interact with prime brokerage counterparties such as hedge funds and trading firms.

Connaissances

Securities & Prime Brokerage

Regulatory compliance

Negotiation & drafting

Cross-functional teamwork

FINRA & Rule knowledge

Formation

Juris Doctor (JD)

Description du poste

Axiom seeks a Securities & Prime Brokerage Counsel to support financial-services clients on complex securities trading, financing, and regulatory matters. The role requires hands-on experience with prime brokerage, margin lending, trading agreements, and related rules.

Ideal candidates have documented experience applying margin rules in transactional or advisory work, and familiarity with fixed income and synthetic prime brokerage agreements.