Financial Services Regulation Associate

KMA Legal Recruitment; England; Hybrid; GBP 70,000 - 90,000; Full time

Benefits offered by this job

Competitive salary

Work from home option

Career development opportunities

Job summary

A reputable legal recruitment firm in the UK is looking for a Senior Associate in financial services regulation. You will provide expert legal advice on compliance matters and assist clients in navigating the regulatory landscape. Candidates must have at least 6 years PQE and strong knowledge of financial services law. The firm offers a competitive salary, benefits package, and a flexible work environment with the option to work from home twice a week.

Qualifications

• Minimum of 6 years PQE in financial services regulation at a highly regarded firm.
• In-depth knowledge of current financial services law including FSMA, FCA Handbook, MiFID.

Responsibilities

• Advise on legal, regulatory and compliance matters.
• Monitor changes in financial services regulations and update clients.
• Draft documents for regulated activities.

Skills

Financial services regulation

Advising on regulatory compliance

Knowledge of FSMA

Corporate governance

Education

6+ years PQE in financial services regulation

Job description

Role

In this role you will advise clients on legal, regulatory and compliance matters including:

• Scoping, perimeter and Part 4A permissions advice.
• Advising on application for authorisations (but not necessarily completing applications) and change in control approvals (including change in control applications).
• Product and services design, including evaluating how innovative and novel FinTech products fit into the regulatory framework.
• Advice on all aspects of the FCA Handbook and PRA Rule Book, MiFID, AIFMD, MCD, CRR (etc).
• Advice on cross border aspects of financial services regulation.
• Corporate governance of authorised firms.
• Payment services and “open banking”.
• Advising and drafting documents such as terms and conditions for regulated activities.
• Advising on remediation, self-reporting, and engagement with the regulators.
• Assisting the corporate team on FSMA aspects of M&A.
• Assisting other teams across the firm (dispute resolution, commercial, private wealth, family, housing, etc) on FSMA related matters (in particular regulated credit and regulated mortgages).
• Monitoring changes in financial services regulations and update clients accordingly.
• Promoting the firm’s financial services regulation capabilities by speaking at seminars, writing articles, etc.
• Providing internal training.

Candidate

The team are looking to hire a senior or managing associate to join them. It is essential you have a minimum of 6 years PQE in financial services regulation with a highly regarded firm.

You should have in-depth knowledge of current financial services law including the Financial Services and Markets Act 2000 (FSMA), the PRA Rulebook, FCA Handbook, The Regulated Activities Order, the Financial Promotions Order, MiFID and consumer credit and mortgage regulation etc.

Why apply?

This is a fantastic opportunity to join a highly regarded firm with excellent quality work amongst talented, driven people.

The firm is known for providing an environment that allows for real career development.

You will have the option to work from home 2 days a week and there is a highly competitive salary and benefits package on offer.

For more information please contact Kate Albon at KMA Legal on [e-mail] or apply as directed.

Seniority level

Mid-Senior level

Employment type

Full-time

Job function

Legal

Industries: Legal Services