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Axiom · 1 day ago

Regulatory Compliance Counsel – Margin Lending & Banking

New York, NY

Full-time

Onsite

Entry, Mid Level

$170K/yr - $170K/yr

2+ years exp

Axiom is transforming the legal services landscape by delivering innovative solutions. They are seeking a Regulatory Compliance Counsel to join their Financial Services team, focusing on advising financial institutions on compliance with banking regulations and supporting regulatory remediation projects.

ComplianceConsultingLaw EnforcementLegalProfessional Services

Hiring Manager

Brittney Gennarelli

Responsibilities

Advise financial institutions on compliance with federal and state banking regulations , including margin lending (Reg T, Reg U, and FINRA 4210) requirements

Support regulatory remediation and supervisory projects involving consent orders, enforcement actions, and internal compliance reviews

Provide guidance on swap execution facilities (SEFs) , alternative trading systems (ATSs) , and direct market access (15c3-5) compliance

Collaborate with client legal, risk, and compliance teams to enhance governance frameworks and implement regulatory best practices

Counsel on equipment financing transactions and related industrial lending regulations

Advise on AML, KYC, and client onboarding frameworks for private market and alternative investment managers

Monitor state-regulated industry developments , including insurance compliance obligations

Qualification

Financial services complianceMargin lending complianceRegulatory remediation projectsCFTC complianceSEC complianceFINRA complianceAnalytical skillsJuris Doctor (JD)AML/KYCEquipment financingInsurance compliance