You will be working closely with the Firm's lawyers and regulatory consultants who have a particular interest and expertise in the retail investments space (i.e. Wealth Management).
This is a mixed contentious and non-contentious regulatory role focussing on Wealth Management and a background in this area will be key to the finding the correct candidate.
Typical instructions include:
Structuring and advising on transactions (and corporate restructuring);
Advising on distribution arrangements involving adviser charges and inducement considerations and reviewing/drafting the relevant introducer, intermediary and client agreements;
Advising on product terms and arrangements such as SIPPs and platforms;
Supervisory correspondence with the FCA and advising firms on responses; and
Dealing with FCA information requests, thematic reviews, Skilled Person's reviews and Enforcement cases involving wealth management
Qualified lawyer, with financial services technical expertise in Wealth Management
Significant interest in and some knowledge of or experience in advising clients on the retail investments sub-sector including applying the FCA Handbook (COBS) and MiFID II and/or advising IFAs, SIPP providers, investment platforms, wealth managers etc
Effective client communication skills in conversational speech, writing, and public speaking
Location: Central London
"Please note, our client is unable to offer sponsorship for this opportunity. Finally, should you not be contacted within five working days of submitting your application, then unfortunately you have not been shortlisted for the opportunity. We will however, be in touch should there be any other opportunities of potential interest that are suiting to your skills. "