Financial services regulatory NQ to 6 years' PQE

We are looking to recruit a solicitor between NQ and six years' PQE to join our hugely successful team.

The group

The group currently comprises a senior team of one partner, one consultant, one senior counsel and a professional support lawyer, along with five solicitors, two trainee solicitors and two paralegals. The team is a full service regulatory team with a particular focus on the asset management and wealth management industries. It covers a broad range of work including advising on all aspects of FCA/PRA applications and notifications, the regulatory aspects of corporate and banking transactions and restructurings, outsourcings, new product and service launches, regulatory perimeter queries and other contentious and non-contentious regulatory matters. Besides the group’s own following of clients we also enjoy wide and varied referrals from across the firm, working closely with our private client, funds, banking and corporate teams.

Our client base is also broad and includes clearing banks, investment banks, corporate finance houses, sovereign wealth funds, mortgage providers, authorised fund managers, private equity firms, hedge fund managers, MTFs, e-money issuers, inter-dealer brokers, family offices, corporates, depositaries, wealth managers and individuals.

This is an exciting time to join a growing, dynamic and highly regarded team in a key area of strategic importance for the firm. All members of the team are expected to take a role developing the practice and client base, as they progress in their career.

The role

We are looking to recruit a solicitor between NQ to six years’ PQE to join our 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 II 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; and

  • experience managing client matters, developing the practice and supporting the junior members of the team. This should include supervising junior lawyers and trainees, managing client relationships, as well as marketing and assisting in presentations and pitches.

In addition to the above, contentious regulatory experience (e.g. s166, enforcement, internal investigations/reviews) and experience advising on mortgages, consumer credit and/or regulatory capital would be advantageous but is not essential.

The candidate

The successful candidate will have up to six years’ PQE from a highly regarded regulatory practice in the City, which may include experience gained in the legal function of a financial services 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 and take an active role running client files with more limited partner supervision, particularly on more straightforward matters. Demonstrable enthusiasm for the practice area is essential, along with a can-do attitude, independence and initiative as well as experience supervising and training more junior lawyers and trainees.

We expect all our solicitors to forge close working relationships with clients, assume real responsibility and develop their experience on a variety of regulatory matters. 

This job description is not exhaustive and may vary in line with changes in the group’s objectives and firm’s policy.

Please click here for further details about our financial services team, the work we do and examples of recent deals.

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