Regulatory Compliance Financial Services Counsel

<h3><strong>Join Our Team as an Attorney at Axiom</strong></h3> <p>We are seeking a <strong>Financial Services Regulatory Compliance Counsel</strong> to support leading banking and financial-institution clients with regulatory advisory, compliance, and remediation matters. This role is ideal for an attorney with deep experience in <strong>banking regulation, broker-dealer compliance, margin lending, and financial-markets regulation</strong>.</p> <h3><strong>Responsibilities:</strong></h3> <ul> <li>Advising banking and financial-services clients on <strong>regulatory compliance, remediation initiatives, and evolving financial-services regulations</strong>.</li> <li>Providing counsel on <strong>margin lending requirements</strong>, broker-dealer regulation, and related supervisory and compliance obligations.</li> <li>Supporting compliance matters involving <strong>swap dealers, SEFs, ATSs, and direct market access</strong>, including <strong>SEC Rule 15c3-5</strong>.</li> <li>Partnering with legal, compliance, risk, operations, and business teams on the implementation and enhancement of regulatory frameworks, controls, policies, and procedures.</li> <li>Supporting regulatory examinations, internal reviews, remediation projects, and responses to regulatory inquiries.</li> <li>Advising on <strong>cash management</strong>, banking products and services, and associated regulatory requirements.</li> <li>Providing practical guidance informed by requirements and expectations of the <strong>SEC, CFTC, FINRA, and other applicable regulators</strong>.</li> </ul> <h3><strong>Qualifications:</strong></h3> <ul> <li><strong>5+ years</strong> of relevant experience in <strong>financial-services regulatory compliance, banking regulation, broker-dealer regulation, or financial-markets compliance</strong>.</li> <li>Demonstrated experience with <strong>margin lending rules</strong> and broker-dealer compliance, including responsibilities comparable to a <strong>Series 24–level supervisory role</strong>.</li> <li>Experience advising on regulatory compliance or remediation projects within a <strong>bank, broker-dealer, investment bank, asset manager, or other financial institution</strong>.</li> <li>Strong understanding of the regulatory framework administered by the <strong>SEC, CFTC, and FINRA</strong>.</li> <li>Excellent communication, stakeholder-management, technology, and problem-solving skills.</li> <li><strong>Juris Doctor (JD)</strong> degree and active bar admission in an applicable U.S. jurisdiction.</li> </ul> <h3><strong>Compensation:</strong></h3> <p>The estimated total compensation for full-time Axiom attorney roles is $104,500-325,000 per year and for non-attorney roles is $71,250-309,750 per year.<strong> </strong>Compensation decisions are based on various factors, including, but not limited to, experience, skills, certifications, location, and business needs. Employees may be eligible for additional benefits, including health, dental, and vision insurance; paid holidays and PTO; flexible work arrangements; and professional development opportunities and tools.</p> <h3><strong>About Axiom:</strong></h3> <p>For over 25 years, Axiom has pioneered the alternative legal services industry, now serving more than 1,500 legal departments globally with our unique blend of world-class legal talent and advanced AI tools, delivering innovative solutions ranging from that combine top-tier talent with cutting-edge technolog