The team works across all financial services sectors, including banking, wealth and asset management, and insurance
To qualify for the role, you will ideally have
- At least 1-6 years PQE;
- Experience working in the Financial Services Regulatory Practice (Non-Contentious and/or Contentious) of a leading UK City or Regional law firm (or equivalent), professional services firm, or regulator;
- Practical experience within the financial services industry (either through secondments, working in-house or prior career);
- Willingness to learn new concepts with minimal guidance
- A good grasp of the regulatory landscape in the UK and EU, and a broad understanding of major international regulatory initiatives including FSMA, PDS2, EMD2, AIFMD, UCITS, MIFID II, IDD, EMIR, Financial Crime legislation (including MLRs, MAR, POCA, etc.),
- Knowledge of the UK regulatory perimeter, including application of, and issues relating to, the RAO, FPO, CIS Order, PCIS, PSRs, and other statutory instruments or European regulations that have direct effect;
- Knowledge or experience working on contentious and or conduct or financial crime-related investigations – including Section 166 Reviews, Regulatory Attestations, Principle 11 Notifications and or FCA / PRA remediation exercises etc.;
- Knowledge or experience providing regulatory transaction support both M&A and corporate reorganisation (i.e., legal project management, transaction due diligence, inputting to SPAs, transitional services agreements, Part VII Transfers, FS Insolvency Processes and or assisting regulatory notifications for change in control);
- Knowledge or experience of supporting firms with FCA/PRA licensing processes including authorisations, variation of permission, notifications under AIFMD/UCITS, deauthorisation process, etc.;
- Knowledge or experience working on large-scale, regulatory compliance and transformation programmes;
- FS sector experience, specifically banking, wealth & asset management and/or insurance sectors.
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.