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Securities & Prime Brokerage Counsel

Axiom Talent PlatformUS - US - Boston
On-site Full-time $71.3K/yr - $104.5K/yr

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Experience Level

Experience

Qualifications

Required Qualifications:A minimum of 3 years of experience in securities law, prime brokerage, or financial services legal practice. In-depth knowledge of U. S. securities regulations, including the Securities Act of 1933 and the Securities Exchange Act of 1934.A proven history of advising clients on securities trading agreements, margin lending, and regulatory compliance. Strong communication, negotiation, technological proficiency, and analytical skills. Juris Doctor (JD) degree or equivalent, with a valid license to practice law in a relevant jurisdiction.

About the job

Become a Key Legal Advisor at Axiom

Axiom is actively seeking a Securities & Prime Brokerage Counsel to enhance our Financial Services team. In this pivotal role, you will deliver expert legal counsel and support for clients engaged in securities trading and prime brokerage, ensuring adherence to the latest margin lending regulations and compliance standards. This position presents a remarkable opportunity to collaborate with top-tier financial institutions on intricate securities agreements, margin regulations, and cross-asset transactions. This is an immediate opening.

Key Responsibilities:

  • Draft, review, and negotiate securities trading and prime brokerage agreements, along with associated margin documentation.
  • Offer legal insights on margin lending regulations, including compliance with FINRA Rule 4210, Regulation T, and Regulation U.
  • Work in conjunction with internal teams, trading desks, and clients on cross-asset transactions encompassing swaps, options, futures, equities, and fixed income instruments.
  • Oversee regulatory compliance, risk management, and operational issues for clients within the financial services and capital markets sectors.
  • Stay informed on industry trends and evolving margin rules to provide proactive legal advice.

About Axiom Talent Platform

Axiom is a leading legal services provider that empowers organizations with innovative solutions and expert legal talent. Our commitment to excellence and client service ensures that we remain at the forefront of the legal landscape.

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