Axiom · 1 month ago
Investment Funds & Securities Counsel - Margin Lending / Prime Brokerage
US - US - New York
Full-time
Onsite
Entry, Mid Level
4+ years expAxiom is transforming the legal services landscape by delivering innovative solutions. They are seeking an Investment Funds & Securities Lawyer to support client engagements in asset management and financial services, providing comprehensive legal support for registered funds and investment products.
ComplianceConsultingLaw EnforcementLegalProfessional Services
Responsibilities
Advise on the formation, operation, and ongoing compliance of registered investment funds, including ETFs and mutual funds
Provide legal counsel on securities trading agreements, including swaps, options, futures, and equity/debt transactions
Support prime brokerage arrangements, including fixed income and synthetic prime agreements, with familiarity in FINRA 4210, Regulation T, and Regulation U
Counsel on Margin Lending compliance, including application and integration of updated margin rules
Interpret and apply SEC regulations, including the Investment Company Act of 1940 and related federal securities laws
Draft, review, and negotiate fund governance materials, offering documents, shareholder communications, and advisory agreements
Collaborate with in-house counsel, compliance teams, and investment professionals to ensure alignment across fund products and securities transactions
Monitor developments in asset management, trading, and margin regulations and provide proactive legal guidance
Qualification
Required
JD or equivalent with active bar membership in good standing
4–15 years of experience advising on ETFs, mutual funds, private funds, or investment products
Documented experience with new Margin Lending rules
Experience with trading agreements, underwriting, and 33/34 Act compliance
Familiarity with prime brokerage agreements, including fixed income and synthetic prime arrangements
Strong drafting, communication, and independent working skills
Preferred
Experience with major fund sponsors such as Vanguard, Fidelity, or MassMutual
Prior in-house or law firm experience supporting registered or open-ended funds
Knowledge of the SEC's 2021 Marketing Rule and other regulatory guidance impacting funds
Background in private equity, venture capital fund structuring, or institutional asset management
Ability to manage complex fund workflows and contribute to product development and securities trading strategy
Benefits
Health benefits
401k
Professional development tools and resources
Learning and development programs
Company
Axiom
Axiom is where high-caliber legal talent meets full-service law firm work.
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
$28MKey Investors
Permira
2019-09-06Corporate Round
2013-02-06Series Unknown· $28M
Leadership Team
David McVeigh
Chief Executive Officer
CJ Saretto
Chief Technology Officer
Recent News
2025-08-26
Company data provided by crunchbase