Regulatory Affairs Specialist (Branch Inspection) at Axiom Talent Platform

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 Affairs Specialist (Branch Inspection) to join our Regulatory Group. This role focuses on conducting inspections and oversight of branch and non-branch locations (NBLs) to ensure compliance with applicable financial services regulations and internal governance standards.

While a legal background is welcome, a law license is not required. The ideal candidate will have extensive experience in financial services audits, examinations, or supervisory programs and a strong understanding of operational and regulatory compliance within a complex, distributed organization.

Responsibilities:

• Conduct in-person and remote inspections of branch and non-branch offices, including pre-visit preparation, fieldwork, reporting, remediation, and follow-up.

• Prepare comprehensive inspection reports documenting findings, corrective actions, and ongoing compliance measures.

• Evaluate and verify policies and procedures related to the safeguarding of customer funds, recordkeeping, and supervision of supervisory personnel.

• Assess cybersecurity, technology, and communication systems to ensure compliance with evolving FINRA and SEC expectations.

• Monitor and validate compliance with Residential Supervisory Location (RSL) reporting requirements, ensuring accurate quarterly submissions.

• Review training, supervision, and business continuity plans (BCPs) for adequacy and regulatory readiness.

• Participate in industry forums and stay informed on emerging best practices and inspection-related regulatory developments.

• Support governance and ad hoc regulatory projects as part of the broader Legal and Compliance function.

Qualifications:

• Bachelor’s degree required; advanced degree or certifications (e.g., CAMS, CRCM, CFE) a plus.

• 10+ years of experience in the financial services industry.

• Prior experience in financial services audits, compliance reviews, or branch inspection programs strongly preferred.

• Strong interpersonal and communication skills, with the ability to collaborate effectively with internal stakeholders and external regulators.

• Proven ability to deliver high-quality, detail-oriented work under tight deadlines.

• Effective project management and organizational skills.

• Proficiency in Microsoft Excel, Word, and PowerPoint.

• Willingness to travel as needed to conduct inspections and follow-up reviews.

Preferred Skills:

• Experience with broker-dealer or investment advisory regulatory frameworks.

• Familiarity with FINRA, SEC, and state regulatory requirements governing supervision, cybersecurity, and business continuity.

• Background in risk assessment, governance, or compliance operations within large financial institutions.

• Ability to work effectively in a dynamic, project-based environment.

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 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.

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