Associate - Financial Services Regulatory (3-6 PQE)

at  Charles Russell Speechlys

The role is for a regulatory lawyer within the firm’s Financial Services team. The role will involve working across the team’s regulatory offering but with particular focus on supporting the following practice areas:

• Asset & Wealth Managers;
• Private Banks;
• Broking, Trading & Markets; and
• Fintech.

The work includes advising on a very broad spectrum of matters, including:

• Perimeter issues;
• Advising on and progressing applications for authorisation;
• Arrangements to effect transfers of business including change in control applications;
• Advising on investigations by the FCA, the PRA, exchanges and other regulators;
• Drafting or reviewing a wide range of client terms of business and other agreements;
• Market conduct issues;
• Systems and controls and governance issues;
• Projects relating to regulatory developments and changes; and
• General compliance advice (including drafting or reviewing compliance policies, procedures and other documentation).

ROLES AND RESPONSIBILITIES:

• Managing workload and providing legal advice to clients in a succinct, practical and persuasive manner;
• Managing a substantial and varied caseload efficiently and cost effectively with minimum supervision, appropriate to level of expertise;
• Supporting Partners in client marketing and business development activities to develop the group’s client base and network of referrers and contacts;
• Contributing to group knowledge and know-how initiatives;
• Drafting accurately and logically, making use of appropriate use of precedents where appropriate; and
• Comply with all relevant legal and regulatory obligations including the Solicitors Regulation Authority (SRA) Standards and Regulations, and Principles.

The role is for a regulatory lawyer within the firm’s Financial Services team. The role will involve working across the team’s regulatory offering but with particular focus on supporting the following practice areas:

• Asset & Wealth Managers;
• Private Banks;
• Broking, Trading & Markets; and
• Fintech