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Regulatory Lawyer

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

Job Description

We are currently looking to recruit a Regulatory Lawyer to join our Regulatory Relations team as part of the wider Compliance department. This is a great opportunity to work for a FTSE 250 company within the wrap platform sector and to build upon your regulatoryknowledge.This is a varied and challenging role which involves dealing with people from all levels of the business as well as with regulators.About us:Transact is the leading independent investment wrap platform in the UK.Established in 2000, we have over £53.5 billion of funds under direction (as at March 2022) on behalf of over 6,600 advisers and 218,000 investor clients. Our service includes an onlineplatform, owned and built by us, and dedicated regional adviser support to help bring clients assets and investments together in a smarter, more tax efficient way. We offer access to a wide range of tax wrappers (including ISAs, pensions and life insuranceinvestment bonds) and funds which advisers use to build client investment portfolios. Portfolio valuations, purchases and sales are all supported via Transact Online which is available 24/7. Transacts parent company, IntegraFin Holdings plc, is listed onthe London Stock Exchange and is a constituent of the FTSE 250 index.About the role:The role will see you supporting the Compliance Manager and Head of Group Platform Compliance to deliver the work of the Regulatory Relations Team and, as required, the Compliance Department more broadly.In particular, the role-holder will assist with:

  • Monitoring, analysing and advising on the impact of emerging regulation and regulatory initiatives affecting the Transact Platform;
  • Co-ordinating and drafting regulatory communications and responses to information requests from the Transact Platform regulators including the FCA, PRA and IoMFSA; and
  • Contributing to training all levels of the business about relevant compliance topics and in preparation for interviews and regulatory visits.
Other key responsibilities include:
  • Provide help and guidance to other Compliance team members in relation to queries.
  • Contribute towards relevant internal and external consultations, discussions and policy debates.
  • Ensure that the business is aware of relevant regulatory requirements, including the Consumer Duty.
  • Produce insightful and accurate analysis of regulatory papers as determined by the Regulatory Relations manager.
  • Assist with the delivery of regulatory change projects and other compliance initiatives when required, including the opportunity to become a subject matter expert on a regulatory topic.
Who we are looking for:The successful candidate must be a qualified lawyer, 5-7 years PQE and have experience working within legal or compliance teams of a Financial Services company. Solid knowledge of FCA and PRA rules is essential.Excellent attention to detail is required, as is the ability to work to tight deadlines under pressure, working both independently and as part of a team. Due to the nature of the role and Transact as a business, great relationship management and interpersonalskills are essential. The ability to draft compelling, accurate communications and influence others is important.

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