CrawlJobs Logo

Regulatory Compliance Counsel

axiomlaw.com Logo

Axiom Law

Location Icon

Location:
United States , New York

Category Icon
Category:

Job Type Icon

Contract Type:
Not provided

Salary Icon

Salary:

170000.00 USD / Year

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.

Job Responsibility:

  • 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

Requirements:

  • 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

Nice to have:

  • 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
What we offer:
  • Health benefits
  • 401K
  • Professional development resources
  • Learning and development programs

Additional Information:

Job Posted:
January 05, 2026

Employment Type:
Fulltime
Work Type:
On-site work
Job Link Share:

Looking for more opportunities? Search for other job offers that match your skills and interests.

Briefcase Icon

Similar Jobs for Regulatory Compliance Counsel

Senior Legal Counsel Compliance

Be part of this ‘once in a generation’ project that will deliver clean energy to...
Location
Location
United Kingdom , Ipswich
Salary
Salary:
Not provided
bouygues-construction.com Logo
Bouygues Construction
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Qualified UK solicitor, with significant experience in compliance and regulatory matters
  • A minimum of 4 years’ post-qualification experience, either in private practice or as part of an in-house legal team in the UK’s construction or infrastructure sector
  • Strong track record of embedding compliance frameworks, processes, and documentation into large project environments
  • Deep understanding of UK regulatory landscape, with the ability to manage compliance for high-value, complex programmes
  • Excellent stakeholder engagement, communication, and risk management skills
Job Responsibility
Job Responsibility
  • Provide expert legal advice and support on contractual, compliance, and regulatory matters throughout the Sizewell C programme
  • Develop and embed effective processes, procedures, and documentation to ensure compliance with the PAA and all relevant UK laws and regulations—including data protection, competition law, export control, modern slavery, anti-bribery and corruption, CSR, information technology, conflicts of interest and confidentiality
  • Advise on risk mitigation, manage disputes and litigation, and serve as a key contact for dispute resolution in collaboration with external counsel as required
  • Collaborate with a broad range of internal and external stakeholders—including CWA’s ESG & Strategy Director, Governance, HR, Finance, Legal, the Client, Implementation Participants, subcontractors, and government agencies—to ensure compliance is aligned with business and project objectives
  • Ensure compliance requirements are effectively cascaded to the supply chain and robustly monitored
  • Oversee the preparation, management, and secure storage of all legal documents and correspondence relating to compliance
  • Monitor changes in UK compliance and regulatory law, keeping the project team and policies up to date
  • Develop and deliver training and guidance to project teams to embed a culture of compliance and risk management
  • Maintain accurate records for audits, dispute resolution, and compliance reviews
  • Fulltime
Read More
Arrow Right

Virtual Currency Regulatory Counsel

We are seeking an experienced Virtual Currency Regulatory Counsel who is excited...
Location
Location
United States , Bay Area
Salary
Salary:
185200.00 - 326800.00 USD / Year
block.xyz Logo
Block
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • JD degree and membership in good standing with at least one state bar
  • 6+ years of experience advising on financial regulatory matters
  • Deep knowledge of virtual currency, money transmission regulations, and the Bank Secrecy Act
  • Comfort working at the intersection of law/regulation, product, and technology
  • A business-minded lawyer who can spot risk but also propose solutions
  • Clear communicator who can explain both complex regulatory requirements and expectations to partners and engineers, as well as Block's products to regulators and auditors
Job Responsibility
Job Responsibility
  • Be the go-to regulatory advisor on all things virtual currency
  • Guide product teams on how to launch and scale offerings in compliant and creative ways
  • Help navigate federal and state regulatory frameworks (FinCEN, CFPB, NYDFS, CA DFPI and more)
  • Represent us in regulatory discussions, exams, and industry forums
  • Advise on licensing and registration for money services businesses, including advising on the differences between regulated and unregulated activity, and substantive virtual currency matters related to bitcoin, stablecoin, USDC, the Lightning Network, and solana
  • Collaborate with Compliance and Engineering to build/enhance controls that meet regulatory expectations while staying user-friendly and scalable
  • Track legislation, regulatory guidance, and enforcement trends—and translate them into actionable insights for the business
  • Draft and negotiate commercial agreements with crypto and payments partners
  • Train and empower teams across the company with knowledge on digital asset laws and regulatory strategy
What we offer
What we offer
  • Remote work
  • medical insurance
  • flexible time off
  • retirement savings plans
  • modern family planning
  • Fulltime
Read More
Arrow Right

Regulatory Counsel

Regulatory Counsel role in Adyen's fast-paced APAC Regulatory team. The role inv...
Location
Location
Australia , Sydney
Salary
Salary:
Not provided
adyen.com Logo
Adyen
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Legally qualified in Australia and do not require formal supervision
  • 6+ years’ experience in a regulatory and/or legal function focused on payments, financial services and/or fintech industry
  • Knowledgeable in the Australian/New Zealand payments, financial services and/or fintech industry
  • Strong sense of initiative, independence and ability to take ownership
  • Analytical and critical thinker who finds creative solutions for complex regulatory challenges
  • Strong interpersonal and communication skills
  • Experience in managing relationships with internal stakeholders and/or the relationship with regulators or supervisors
Job Responsibility
Job Responsibility
  • Monitor regulatory developments in Australia and New Zealand and advise on its impact to Adyen
  • Manage various regulatory requests and filings
  • Operationalise regulatory requirements in Australia and New Zealand for Adyen
  • Provide advice and support to internal stakeholders on general legal and regulatory risks
  • Represent the Regulatory team on a variety of workstreams and products to establish regulatory strategies that align with global objectives and ensure controlled and compliant growth
  • Analyse regulatory policies, guidelines and reports, bills and acts and licensing requirements pertaining to payments and financial services industry in Australia and New Zealand
  • Support internal and external partner teams in all regulatory and legal matters
  • Assist in corporate secretarial matters and liaisons with external advisors and auditors to meet compliance requirements
Read More
Arrow Right

Export Controls & Technology Compliance Counsel

Axiom is seeking an Export Controls Counsel with deep expertise in ITAR and EAR ...
Location
Location
United States
Salary
Salary:
150000.00 USD / Year
axiomlaw.com Logo
Axiom Law
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 5+ years of experience practicing law with a focus on export controls and trade compliance
  • Proven expertise in ITAR and EAR licensing, classification, and regulatory interpretation
  • Experience advising on software, encryption, AI, or GPU-related export issues
  • Juris Doctor (JD) and active license to practice law in a U.S. jurisdiction
  • Prior Big Law or in-house experience, especially with secondments or cross-functional client work
Job Responsibility
Job Responsibility
  • Advise on U.S. export control regulations, including ITAR (Department of State/DDTC) and EAR (Department of Commerce/BIS)
  • Manage and prepare export license applications, technical assistance agreements (TAAs), and commodity jurisdiction requests
  • Provide classification support for products, technology, and software under the CCL and USML
  • Counsel clients on encryption, AI, and emerging tech exports, ensuring compliance with evolving BIS guidance
  • Lead and support internal investigations and voluntary disclosures related to export control violations
  • Design and implement export compliance programs, including training and risk assessments for multinational operations
  • Collaborate cross-functionally with client engineering, product, and supply chain teams to ensure compliant global operations
What we offer
What we offer
  • Health benefits
  • 401K
  • Professional development resources
  • Learning and development programs
  • Fulltime
Read More
Arrow Right

Compliance & Corporate Counsel

We are seeking experienced attorneys to support a global Fortune 500 company nea...
Location
Location
United States , Detroit
Salary
Salary:
190000.00 USD / Year
axiomlaw.com Logo
Axiom Law
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Licensed attorney in good standing with 8+ years of experience, including knowledge of privacy and data protection requirements in regional markets
  • Background in corporate and commercial law, with experience supporting businesses across the Middle East and North Africa
  • Strong negotiation, advisory, and communication skills, with the ability to manage multiple stakeholders and priorities
  • Fluency in English, with Arabic strongly preferred
Job Responsibility
Job Responsibility
  • Advise business leaders on cross-border transactions, organizational matters, third-party relationships, and commercial agreements across the region
  • Provide guidance on privacy, data governance, and information-handling practices, including internal policies and regional compliance obligations
  • Partner with compliance and operational teams to navigate regional regulatory frameworks, assess legal risks, and support adherence to applicable laws
  • Support the development and implementation of policies and procedures to promote consistent, compliant, and efficient business operations
What we offer
What we offer
  • Health benefits
  • 401K
  • Professional development resources
  • Learning and development programs
  • Fulltime
Read More
Arrow Right

Senior Counsel, Product/Regulatory

Aptos Labs is looking for an exceptional candidate to serve as Senior Counsel, r...
Location
Location
United States
Salary
Salary:
196000.00 - 250000.00 USD / Year
aptosfoundation.org Logo
Aptos
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • J.D. degree (or foreign equivalent) and member of the California or New York bar
  • 5+ years of legal experience (either in-house and/or at a law firm), with a background in product counseling or regulatory matters
  • Experience with the legal issues arising from fintech and/or blockchain applications (securities laws, money transmission, custody, data privacy)
  • Experience counseling and advising clients and product and engineering teams on business and risk mitigation strategies in connection with the launch of products and services
  • Experience advising business teams to insure regulatory compliance across multiple jurisdictions
  • Experience building relationships and collaborating cross-functionally with external partners, product teams and other members of the legal team to ensure business needs are met and company remains in compliance with regulatory requirements
  • Excellent legal judgment and outstanding communication and presentation skills, both written and verbal
  • Ability to research and master complex legal and regulatory topics, communicate them to non-lawyers in clear, easy to understand language
Job Responsibility
Job Responsibility
  • Provide guidance to product, engineering, marketing, and go-to-market teams on issues related to new and existing products and features
  • Insure products and services of the company meet all legal and regulatory requirements
  • Stay up-to-date on relevant U.S. and international laws, regulations and public policy matters, especially those related to financial regulation and blockchain related matters. Advise the team on how such matters and developments may influence business strategies and insure continued compliance
  • Develop trusted relationships with business partners and stay informed on key product developments
  • Draft terms of use, product policies, privacy notices, and other disclosures. Implement related processes to support compliance
  • Work collaboratively across multiple functions to help build scalable and effective processes for providing legal input to clients on strategic product initiatives
  • Provide practical legal and strategic business advice to the product teams and help develop a comprehensive, long-term approach to support new product developments and customer experiences
  • Ability to lead and manage numerous initiatives and meet tight deadlines when necessary to achieve business objectives
  • Available to travel as and when required
  • Contribute in other legal areas such as commercial (contracts, tech trans, etc.), intellectual property and corporate (e.g. grants, investments, etc.) matters when needed
What we offer
What we offer
  • 100% insurance premium coverage for medical, dental, and vision for you and your dependents (US Employees)
  • Equipment of your choice
  • Flexible vacation time, 11 holidays, and floating company days off
  • Competitive Salary
  • Protocol Token Grants
  • 401k matching (US Employees)
  • Fun and inclusive in-person and digital events
  • Fulltime
Read More
Arrow Right

Legal Counsel

As Legal Counsel, you will lead and elevate Akuna’s North American legal functio...
Location
Location
United States , Chicago
Salary
Salary:
160000.00 USD / Year
akunacapital.com Logo
AKUNA CAPITAL
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Juris Doctor and active licensure in good standing (Illinois or New York preferred)
  • Minimum of 5+ years of relevant legal experience at an exchange, regulator, law firm, and/or as in-house legal counsel
  • Regulatory & Compliance Expertise - knowledge of U.S. and international regulations, including SEC, FINRA, CFTC, NFA, and major exchanges
  • Corporate & Transactional Skills – exposure to corporate transactions, such as venture investments, M&A, or financing arrangements. Experience reviewing and negotiating trading-related agreements
  • familiarity with derivatives, market structure, and proprietary trading environments is beneficial
  • Excellent analytical, drafting, and communication skills
  • Experience working on cross-functional or cross-regional projects with a demonstrated ability to manage projects independently in a fast-moving environment
Job Responsibility
Job Responsibility
  • Lead negotiation and oversight of trading, vendor, and market-facing agreements while establishing consistent firmwide contracting standards
  • Oversee corporate governance documents, intercompany agreements, and shareholder matters to support global operational and tax structures
  • Advise senior leadership on legal risks and considerations related to new markets, trading products, technologies, and strategic initiatives
  • Monitor and interpret U.S. and international regulatory developments, providing clear guidance on operational and compliance impacts
  • Support venture investments and corporate transactions, including documentation, diligence, and coordination with internal and external stakeholders
  • Oversee global insurance programs and policy reviews across liability, property, EPLI, FI bond, and ERISA lines
  • Advise on employment-related agreements while supporting HR on global employment law developments and compliance
  • Respond to subpoenas, inquiries, and information requests, and oversee outside counsel in active litigation matters
  • Manage litigation holds and guides internal stakeholders on documentation, preservation, and risk considerations
  • Collaborate with the Human Resources and Recruitment teams to monitor and implement updates in labor and employment laws, provide practical guidance on workplace policies, and advise on employee relations and day-to-day employment issues
What we offer
What we offer
  • discretionary performance bonus
  • employer-paid medical, dental, vision, retirement contributions, paid time off, and other benefits
Read More
Arrow Right

Senior Lead Counsel

The Senior Lead Counsel II is a senior level position responsible for serving as...
Location
Location
United States , Irving; Wilmington; Schaumburg; Tampa
Salary
Salary:
170000.00 - 300000.00 USD / Year
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 10+ years of relevant industry experience in financial services with extensive experience in the credit card industry
  • excellent leadership, communication and relationship management skills
  • experience in working with regulators/regulatory bodies is preferred
  • proven ability to apply sound judgement while managing multiple assignments simultaneously in a demanding, fast-paced environment
  • comprehensive knowledge of federal and state consumer credit laws affecting the credit card industry, including Truth-in-Lending Act, Equal Credit Opportunity Act, Fair Credit Reporting Act, Electronic Funds Transfer Act, Privacy laws and UDAAP
  • extensive experience advising on credit card matters, including: credit card account origination and issuance
  • marketing materials and consumer disclosures and collateral
  • rewards programs
  • digital applications, interfaces and wallets
  • issue identification and remediation
Job Responsibility
Job Responsibility
  • Legal counsel to the Citi Retail Services business, supporting strategic retail partner initiatives for private label and co-branded credit cards, providing subject matter expertise and interpretations of relevant laws, rules, regulations, and industry practices, and advising management on all manner of legal matters and risks impacting the business
  • providing advisory services in respect of business decisions by applying institutional knowledge against credit card industry standards, widely accepted business practices, laws, rules, and regulatory guidelines, escalating where appropriate
  • collaborating across internal lines of business and control/support functions to achieve coordinated and efficient outcomes on matters of common interest
  • coordinates closely with the other consumer Legal teams
  • serving as business partner and advisor to business stakeholders and functional partners (e.g., Risk, Finance, Compliance) by participating in planning and development initiatives
  • contributing to business objectives by using knowledge of credit card industry, laws, and regulations
  • actively participating in various risk reviews, governance and control forums while demonstrating keen awareness of issues that could cause financial, reputational, or legal consequences
  • proactively identifying, evaluating and contributing to the appropriate management of legal, regulatory, and reputational risk through cross-function collaboration, following relevant legal developments, participating in internal projects, and escalating as appropriate
  • managing day-to-day legal activities as a subject matter expert in area of responsibility and provide senior advisory services to business partners regarding retail partner credit card programs
  • negotiating, coordinating, and monitoring management of complex legal issues and making key decisions within area of responsibility, escalating where necessary
What we offer
What we offer
  • medical, dental & vision coverage
  • 401(k)
  • life, accident, and disability insurance
  • wellness programs
  • paid time off packages, including planned vacation, unplanned sick leave and paid holidays
  • Fulltime
Read More
Arrow Right