The ideal candidate will have a 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.
In this role you will advise on:
Transactions (and corporate restructuring).
Regulatory notifications, approvals, client transfer requirements and due diligence.
Distribution arrangements involving adviser charges and inducement considerations.
Product terms and arrangements such as SIPPS and platforms.
Supervising correspondence with regulators and advising firms on responding to VREQs, OIVOPs, contentious authorisations and other 'close' supervisory issues.
Dealing with FCA information requests.
Thematic reviews, Skilled Person reviews, and Enforcement cases involving wealth management.
Must be a qualified lawyer with a wealth management background.
The ability to apply financial services technical expertise to complex cases, in a practical, commercial, and professional way.
Wider experience of general regulatory advice is desirable.
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."
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