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About the Role

Seeking a Securities & Prime Brokerage Counsel to support financial-services clients on sophisticated securities trading, financing, and regulatory matters. This role is ideal for an attorney with hands-on experience advising on prime brokerage, margin lending, securities trading agreements, and related regulatory requirements. Experience applying new or updated margin rules in transactional or advisory work is particularly sought.

Responsibilities

Advising clients on prime brokerage, securities financing, margin lending, and securities-trading matters.
Drafting, reviewing, negotiating, and interpreting prime brokerage agreements, fixed income prime brokerage agreements, synthetic prime brokerage agreements, and related trading documentation.
Advising on margin and credit requirements, including FINRA Rule 4210, Regulation T, Regulation U, and recent regulatory updates.
Supporting securities trading agreements across asset classes, including swaps, options, futures, equities, and fixed income instruments.
Providing legal and regulatory guidance on securities underwriting and compliance under the Securities Act of 1933 and the Securities Exchange Act of 1934.
Partnering with business, risk, credit, compliance, operations, and legal stakeholders to identify and manage transactional and regulatory risk.
Working directly with prime brokerage counterparties, including hedge funds, trading firms, and other institutional clients.

Requirements

5+ years of experience in securities, prime brokerage, broker-dealer regulation, securities financing, derivatives, or related financial-services practices.
Demonstrated, hands-on experience advising on prime brokerage and margin lending, including current or recent margin-rule developments.
Strong experience with securities trading documentation involving multiple asset classes, including swaps, options, futures, equities, and/or fixed income products.
Working knowledge of FINRA Rule 4210, Regulation T, Regulation U, and related margin and credit requirements.
Experience advising on securities law and underwriting matters under the Securities Act of 1933 and the Securities Exchange Act of 1934.
Excellent drafting, negotiation, communication, technology, and problem-solving skills.
Juris Doctor (JD) degree and active bar admission in an applicable U.S. jurisdiction.
Upon request and consistent with applicable laws, Axiom will provide reasonable accommodations for individuals with disabilities who require accommodations to participate in each stage of the recruitment process.
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.
Qualified applicants with arrest and conviction records will be considered for employment, in accordance with the San Francisco Fair Chance Ordinance, NY Fair Chance Act, and Los Angeles Fair Chance Initiative.

Skills

Prime brokerage
Margin lending
Securities trading agreements
Regulatory requirements
FINRA Rule 4210
Regulation T
Regulation U
Securities Act of 1933
Securities Exchange Act of 1934
Drafting
Negotiation
Communication
Technology
Problem-solving

Experience Level

5+ years of experience

Education Level

Juris Doctor (JD) degree
Active bar admission in an applicable U.S. jurisdiction

Salary/Compensations

$104,500-325,000 per year

Benefits

Health, dental, and vision insurance
Paid holidays and PTO
Flexible work arrangements
Professional development opportunities and tools

About the Company

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 technology.
We tackle complex legal matters across 12 practice areas for clients ranging from Fortune 100 to SMBs, empowering our legal professionals to engage in meaningful work that advances their careers.
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 class alterative legal services.

Equal Opportunity

Diversity is core to our values and we are proud to be an 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, gender identity, gender identity status, 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.
Upon request and consistent with applicable laws, Axiom will provide reasonable accommodations for individuals with disabilities who require accommodations to participate in each stage of the recruitment process.
To request an accommodation, please contact benefits@axiomlaw.com.