Financial Regulation Associate/Senior Associate

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A rare opportunity has become available for an experienced Solicitor to join the Financial Regulation team within this global law firm. Applicants will ideally have at least 5 years of FS regulatory experience and the role could be based in Edinburgh or London. This firm has a very flexible approach to office/home based work and will also consider applicants who are looking for a 4 day/week.

The current team of financial services regulatory lawyers provides regulatory advice to financial institutions and other businesses including banks, investment managers, building societies, life and non-life insurance companies, trading platforms, stockbrokers, corporate financiers, intermediaries (including networks), payment services firms, small investment banks, custodians, and pension houses.

The team intends to continue to grow organically but as their business expands, they are seeking additional resource that would bring a fresh energy into the team. There are also opportunities to undertake secondments to some of their larger clients.

The team is split into two main areas 1) Investments and 2) Payments/Consumer Finance and have opportunities available to specialise in both areas.

On the investments side, the work will include:

  • Advising clients who are carrying on regulated activities in the UK or internationally;
  • Advising clients who are looking to become authorised and how they communicate financial promotions;
  • Dealing with regulatory change such as the continuing impact of Brexit, the implementation of the new prudential regime under MiFIDPRU, addressing sustainable finance obligations;
  • Interpretation of the FCA and PRA's rules (including Conduct of Business, Supervision and Systems, Capital requirements and Controls rules) for MiFID and non-MiFID investment businesses;
  • Acquisition or disposal of FCA/PRA regulated firms and the scope of the controllers regime;
  • Drafting terms of business for financial services products and services, in particular using plain English and graphics;
  • Drafting and negotiating investment management agreements

If you are interested in finding more, please contact Jill Cowan on 07931 811 330 or apply online.

17 January 2022
0141 530 4333