Regulatory Compliance Counsel - Margin Lending & Banking

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 . This role is ideal for attorneys with hands-on experience in banking regulation, margin lending, and financial products compliance. The position focuses on supporting major financial institutions - primarily onsite in New York - across a range of complex regulatory and remediation projects. We are particularly interested in candidates with documented experience on the new Margin Lending rule , as well as those with equipment financing (industrial) experience and exposure to CFTC, SEC, and FINRA compliance.

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.

Qualifications:

• 2+ years of experience in financial services regulatory compliance , preferably at or advising banking institutions or regulators .

• Proven background in margin lending compliance and trading infrastructure regulations (CFTC, SEC, FINRA).

• Experience in regulatory remediation projects or bank supervisory roles (OCC, FRB, FDIC experience highly valued).

• Strong analytical skills and ability to interpret evolving regulatory guidance.

• Juris Doctor (JD) and admission to practice in a U.S. jurisdiction.

• Onsite availability in New York City is required.

Preferred Skills:

• Experience with equipment financing and industrial lending transactions.

• Background in AML/KYC and private funds client onboarding .

• Familiarity with insurance compliance and state-by-state regulatory analysis .

• Demonstrated success in cross-functional regulatory projects

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 alternative 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

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.