Legal recruitment Consultants
Default Sub Banner


Back to job search

Financial Services Regulatory Associate, NQ-4 PQE

We are currently recruiting for a Financial Services Associate who is with between NQ to 4 years’ post qualification experience to join this well renowned mid-size Law Firm. The role is for a regulatory lawyer within the firm’s Financial Services Regulation & Funds 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).

Key Tasks and Responsibilities (this is a broad but not exhaustive list):
The general responsibilities and duties of the role are detailed below and the successful candidate should have experience in these specialisms:

  • 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; and

  • Drafting accurately and logically, making use of appropriate use of precedents where appropriate.

Person Specification
The ideal candidate must:

  • Be an England and Wales qualified solicitor up to 4 year’s PQE.

  • Demonstrate a good understanding of and be interested in the detail of financial services law and regulation

  • Be able to work as part of a pragmatic and ambitious team with a varied client base.

  • Experience gained from an in-house role or direct financial services environment would be useful, but is not a requirement.

  • Have excellent all round IT skills, MS Office including Excel and Word

There are excellent opportunities for the successful candidate to further their career by developing a niche and sought after specialism within a well-respected team at an ambitious City law firm with a growing international presence.
If you wish to receive more information or be considered for the position, or others that may be suitable, please send your CV to or contact Anna Craig at or 0207 400 2023.

As part of EJ Legal’s candidate registration and care process, all successful applications are responded to within 14 working days. If you have not been contacted within this timescale this means your application has been unsuccessful on this occasion. We may keep your details on our system on a confidential basis for future opportunities. If you would prefer us not to do this, please let us know.