Senior Regulatory Lawyer
August 28
🔄 Hybrid – London
Description
• Advise on and interpret regulations issued by financial regulatory bodies, including the FCA and other relevant regulators. • Act as primary legal point of contact for all regulatory legal queries and enquiries. • Develop, implement and ensure the company’s policies, procedures and products across our Advice, Asset Management and Settlement and Custody businesses are compliant with current and evolving regulations. • Lead the developments and implementation of regulatory compliance programmes working closely with Compliance colleagues. • Provide legal counsel on complex regulatory matters including licensing, reporting obligations and risk management • Draft review and negotiation contracts, agreements and other legal documents in line with regulatory requirements. This would include our Settlement and Custody Terms of Business and documentation in relation to fund related matters. • Lead the legal structuring, formation and launch of investment funds across various asset classes. • Identify and assess regulatory risks, including identifying and mitigating legal risks associated with fund operations and investments and work with cross-functional teams to develop mitigation strategies. • Monitor and report on regulatory changes, trends • Ensure timely and effective communication of regulatory risks to senior management. • Provide training and guidance to internal teams on regulatory developments and their impact on the businesses within the Group. • Oversee and effectively manage and work with external legal counsel on regulatory legal matters. Liaise and support the management of external legal counsel in line with targets and budgetary requirements whilst ensuring high-quality external legal support. • Oversee / monitor more junior members of the team (as appropriate) and willingness to take on line management responsibilities. • Foster a culture of compliance and ethical behaviour across the Group.
Requirements
• Legal qualification: 6 + yrs PQE with broad regulatory legal experience working within a regulated financial services organisation • In house experience is desirable but not compulsory • A well rounded, broadly based and highly regarded regulatory legal specialist with first rate academic credentials, demonstrable intellectual abilities and an excellent career track record to date. • An in-depth understanding of the financial services industry and demonstrable wide-ranging regulatory legal expertise. • A business oriented lawyer with the breadth of experience to cover a broad range of legal and regulatory issues across the entire Group, individual business areas and central functions • Ability to think strategically and creatively see legal issues in their wider context and advise accordingly. • Excellent interpersonal and communication skills, strong organisational skills and judgement, excellent analysis, drafting and negotiation skills • Self-motivated to drive delivery against objectives and an ability to work autonomously and manage own caseload effectively • Willingness to learn and build good working relationships with internal stakeholders, identifying areas of improvement in relation to contractual documentation, policies, procedures and standards, working closely with Compliance colleagues. • Accustomed to operating in a high paced environment and with a successful track record of aligning legal priorities and business goals. • An ability to provide incisive and proactive advice and sound legal judgement.
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