Financial Services Regulation Associate

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 Fin Tech 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.

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.

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  or apply as directed.

Mid-Senior level

Full-time

Legal

Industries:
Legal Services