Trellis Group
Regulatory Compliance Counsel – Margin Lending & Banking
Trellis Group, New York, New York, us, 10261
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.
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.
Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.
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 benefits@axiomlaw.com 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.
#LI-LC3
#J-18808-Ljbffr
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.
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.
Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.
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 benefits@axiomlaw.com 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.
#LI-LC3
#J-18808-Ljbffr