Financial services (non-contentious) 1 to 3 years' PQE

The financial services (non-contentious) group is looking to recruit a solicitor with 1 to 3 years' PQE.

The non-contentious financial services practice comprises two partners, eight solicitors, one professional support lawyer, two trainee solicitors and one paralegal.

The group

Our client base is wide-ranging and includes asset managers (institutional asset managers, hedge fund, credit fund and private equity/real estate fund managers), investment banks, inter-dealer brokers, trading venues, wealth managers, corporate finance houses, sovereign wealth funds, payment services providers and e-money issuers, and family offices. We do a full range of regulatory work for our client base from perimeter advice, authorisations work, change in control issues, conduct of business and client money advice, outsourcing, governance and systems and controls, support on M&A work, regulatory developments (MAR, MiFID II, EMIR, SFTR, SM&CR, etc.), conducting internal investigations and s166 work. We work closely with the investment management group, tax, corporate, derivatives & trading and banking teams as well as our private client group.

This is an exciting time to join an energetic and highly regarded team in a key area of strategic importance for the firm.

The role

The group are looking to recruit a solicitor with one to three years’ PQE to join its hugely successful team. The successful candidate will have experience in the following key areas as appropriate to their PQE:

  • Buy-side experience, with some sell-side experience an advantage
  • In-depth knowledge of MiFID II and AIFMD (EMIR and SFTR would be an advantage)
  • Experience of working with institutional asset managers, private equity, hedge fund and credit fund managers
  • Experience of running regulatory due diligence in support of corporate and banking teams, drafting due diligence reports and commenting on SPAs, BSAs, etc.
  • Experience in advising on perimeter issues relating to e.g. authorisations, client money issues, interaction between MiFID and RAO, etc.
  • Experience in managing regulatory applications, e.g. authorisations, variations of permission, change in control, waiver applications, etc.
  • Experience in relation to governance of financial institutions, implementation of the SM&CR for banks/insurers and its expansion to all other firms
  • Experience in working with / managing local counsel in other jurisdictions and ability to digest foreign law advice and present it for clients

In addition to the above, contentious regulatory experience (e.g. s166, Enforcement, internal investigations / reviews) would be advantageous but is not essential.

The candidate

The successful candidate will have 1 to 3 years’ PQE from a highly regarding firm. They will have excellent academic credentials from A Levels, with a minimum 2.1 degree and a Distinction or Commendation in the LPC (and GDL if applicable), or equivalent.

The successful candidate will have good presentation skills both written and oral, and will be able to juggle multiple matters (somebody who is used to acting on one large matter at a time may struggle with this role). Demonstrable enthusiasm for the practice area is essential, along with a can-do attitude, independence and initiative.

We expect all our solicitors to work closely with clients, assume real responsibility and gain experience on a variety of matters. Our matters often have a cross-border element, so our solicitors frequently liaise with specialists in overseas jurisdictions.
This job description is not exhaustive and may vary in line with changes in the group’s objectives and firm’s policy.

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