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Financial Services Regulatory Lawyer Senior Associate

Aggregator Network
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

You will assist in driving forward the firms national Wealth and Asset Management practice, handling predominantly non-contentious / advisory matters but with the opportunity to be involved with more contentious, risk management matters also. The successful candidate will need to answer general Financial Services Regulatory queries outside of the investments sub-sector, for example, corporate support or SM&CR projects in other FS sub-sectors. Working closely with several Partners including the Head of Financial Services Regulatory, the responsibilities are as follows:

  • To run a large number of advisory tasks and projects;
  • Advise on new business propositions and distribution models, including drafting the accompanying agreements;
  • Advise on compliance, regulatory breaches, reporting and potential systemic liability;
  • Advise on implementation (and post implementation) of regulatory change projects;
  • Advise on conduct regulation, senior management responsibility and product governance.
  • Provide additional technical expertise in retail investments / Wealth Management;
  • To deliver expertise within the area of specialty, contributing actively to practice area targets and assessing risk as appropriate;
  • To coach and delegate as required and manage client expectations to ensure high levels of service delivery both internally and externally.
  • To provide client solutions in a practical, commercial, and professional way achieving good results on large/complex projects.
    • The successful candidate will manage these matters with limited supervision, ensuring sufficient and appropriate delegation to junior associates and trainees and liaising as necessary with other subject matter experts.Requirements:
  • 7 years + PQE lawyer, with significant experience of Wealth and Asset Management Regulatory experience.
  • Significant experienced in MiFID, COBS, PROD, SYSC and SUP. Further experience in AIFMD, EMIR, FUND and COLL is preferred.
  • Proven track record of working in an environment with a high level of autonomy and responsibility.
  • Experience of effectively supervising and developing junior associates.
  • Ability to develop the business in terms of both existing and new clients.
  • Effective team player with collaborative and supportive approach.
  • Proactive in developing own expertise and skills and in sharing learning with others.
    • Salary: £80,000 - £120,000 Contact: Russell Mills, Please note, our client is unable to offer sponsorship for this opportunity. Finally, should you not be contacted within five working days of submitting your application, then unfortunately you have not been shortlisted for the opportunity. We will however, be in touch should there be any other opportunities of potential interest that are suiting to your skills.For all other roles, please go to

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