Regulatory Compliance Financial Services Counsel

About Axiom:
Axiom is transforming the legal services landscape by delivering innovative solutions ranging from individual secondees to fully integrated project teams that combine top-tier talent with cutting-edge technology. Join our innovative talent community and help drive impactful legal solutions to complex problems in various industries.

Job Description:
We are seeking a Regulatory Compliance Counsel to join our Financial Services team. In this role, you will support clients in the banking and financial sectors on a broad range of compliance, regulatory, and risk matters. This is a unique opportunity to work onsite with premier institutions in New York, advising on projects related to regulatory remediation, CFTC, SEC, and FINRA compliance, and emerging financial regulations.

Responsibilities:

• Advising on regulatory compliance frameworks, including those governed by the CFTC, SEC, and FINRA.
• Supporting clients on regulatory remediation projects, consent orders, and regulatory filings.
• Providing guidance on swap dealer compliance, alternative trading systems (ATS), swap execution facilities (SEFs), and direct market access (15c3-5).
• Collaborating with in-house teams to develop and enhance compliance programs for trading and investment platforms.
• Addressing state-level regulatory needs across insurance and other regulated industries.

Qualifications:

• 8+ years of experience in financial services regulatory compliance, ideally with a background at banking institutions or regulators.
• Deep understanding of U.S. federal and state financial regulations, including commodities, securities, and trading systems.
• Strong knowledge of swap dealer rules, ATS/SEFs, and related operational infrastructures.
• Excellent interpersonal, analytical, and communication skills.
• Juris Doctor (JD) and admission to practice in a U.S. jurisdiction.

Preferred Skills:

• Familiarity with insurance compliance in state-regulated markets.
• Comfortable working onsite in New York City.

Compensation, Benefits & Location:

This role offers a range of competitive compensation starting at $170k and a highly competitive benefits package in the alternative legal services marketplace that includes health benefits, 401K and more. Axiomites also get access to professional development resources and learning and development programs. Axiomites predominately work remotely, with the exception that some clients require on-site presence.

Axiom is the global leader in high-caliber, on-demand legal talent. Covering North America, the UK, Europe, and APAC, we enable legal departments to drive efficiency and growth and meet the demands of today’s business landscape with best in breed alterative legal services.

Axiom is a leader in diversity, inclusion, and social engagement. Diversity is core to our values and we are proud to be an equal opportunity employer. We are proud to be named a best place to work for LGBTQ+ Equality, earning top marks in the 2021 Corporate Equality Index for the second consecutive year. Axiom’s legal department is Mansfield certified and is committed to considering at least 50% diverse candidates for leadership roles and outside counsel representation.

Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.

Learn more about working at Axiom.

Equal Opportunity Employer: Axiom ensures equal employment opportunity in recruitment and employment, without discrimination or harassment on the basis of race, color, nationality, national or ethnic origin, religious creed or belief, political opinion, sex, gender reassignment, pregnancy or maternity, age, disability, alienage or citizenship status, marital (or civil or other partnership recognized by law) status, genetic predisposition or carrier status, sexual orientation, military service, or any other characteristic protected by applicable law. Axiom prohibits and will not tolerate any such discrimination or harassment.

Accommodation for Individuals with Disabilities: Upon request and consistent with applicable laws, Axiom will provide reasonable accommodations for individuals with disabilities who require an accommodation to participate in each stage of the recruitment process. To request an accommodation to complete the application form, please contact us at [email protected] and include “Applicant Accommodation” in the subject line.

Axiom respects your privacy. For an explanation of the kind of information we collect about you and how it is used, our full privacy notice is available at https://www.axiomlaw.com/privacy-notice.

Employment with Axiom may be contingent upon successful completion of a background check, providing proof of identity, and possessing the necessary legal authorization to work.

By submitting an application, you acknowledge that all information contained therein, and provided at any part of the application process, is correct and accurate to the best of your knowledge.

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