Managing Associate - Financial Regulation - Wealth and Platforms

Lawyer - Managing Associate, Financial Regulation London

£85,000 - £110,000 Basic + bonus & benefits.

 

 Are you a qualified lawyer with significant experience relating to regulatory matters within Wealth Management and Investment Platforms? Do you work for a law firm or financial institution? Would you like to change your role and work for a Top Tier international firm, which gives you a platform to develop your skills and challenge yourself in a collaborative environment?

 

Your new role would be a challenging permanent opening as a Managing Associate – Financial Regulation based in London, with hybrid working.

 

You will be a minimum of 4 Years PQE with a focus on various aspects of retail wealth and investments, including retail customer compliance matters, PE investment, M&A, asset sales, commercial arrangements, distribution, conduct, FCA engagement, capital requirements, remuneration and SM&CR.

 

In order to qualify for this excellent opportunity, you will be a qualified lawyer (4+ years PQE) with a background in Financial Regulation as it relates to organisations such as Investment Platforms, Wealth Managers, Custodians and SIPP providers, in addition to the below requirements;

• A good understanding of the regulatory framework, including regulatory permissions, COBS, CASS, Consumer Duty, EBA and PRA publications on outsourcing and third-party risk, and operational resilience
• An understanding (and preferably experience) of corporate transactional work and of commercial contracts, and be able to draft related regulatory provisions
• You will be able to deliver clear and concise advice, confident in its technical basis