Trainee Associate

4 weeks ago


London, United Kingdom DWF Law LLP Full time

DWF is a global legal business providing high quality legal services across legal advice and managed services. The Financial Services Regulatory (FSR) team is looking for an Associate or Senior Associate to join the London team and assist in driving the national Retail Investment / Wealth Management practice (non-funds). This is a strategic growth hire to manage some of the existing caseload and to develop regulatory project work for our key clients and targets.
This role involves a mix of contentious (enhanced supervisory, regulatory intervention and FCA investigations) and non-contentious (advisory, regulatory structures and contractual) work. From time to time, you will need to deal with general FSR queries (outside of the retail investments sub-sector), for example, corporate support or SM&CR projects in other FS sub-sectors.
Our current clients include DFMs, investment / custodial / trading platforms, SIPP providers, AR networks, national IFAs, brokers and private banks, robo-advisers, 'online discretionary investment managers' and insolvency practitioners.
This would be an ideal role for someone from a MiFID infrastructure and broking background who wants to expand into the retail investment sector and use their existing knowledge to help expand our offering higher up the distribution chain.
advising on compliance, regulatory breaches, reporting and potential systemic liability; advising on implementation (and post implementation) of regulatory change projects and conduct regulation, senior management responsibility and product governance.
Finally, we are instructed to advise on the regulatory aspects of insolvencies in the wealth management sector, including Special Administrations (alongside our Restructuring & Insolvency team).
Qualified lawyer with financial services technical expertise and an ability to apply it in a practical, commercial and professional way on large / complex projects / cases and a varied caseload of smaller matters.
Wider experience of general regulatory advice, for example, advising on business models, systemic liability, complaint handling and/or SM&CR is desirable.
Experience of effectively supervising and developing Trainees and/or Paralegals.
Provide a high quality service to clients in a commercial and professional manner managing a caseload of predominantly complex and/or high value cases on both contentious and non-contentious matters, working with other partners or senior consultants and/or with assistance from more junior fee earners;
Maintain an understanding of the latest developments in financial services regulation and wider regulatory law and to regularly seek to update skills in addition to and outside of the CPD process, sharing learning across the team;
Be accountable for individual and team financial management ensuring a pro-active approach is taken to meeting individual and team targets;
Raise individual profile and that of DWF through coverage in the trade, legal and/or national press, via social media and DWF promotional material, assisting to maximise own revenue with existing clients through the introduction of clients to other practice areas/groups where applicable;
Play a proactive role in business development including writing articles and blogs, delivering presentations and facilitating seminars;
Support others to perform to their potential, delegating work, providing technical and strategic advice to more junior fee earners, supervising cases and giving relevant guidance to support the development and progression of others as appropriate;
Understand the relevant marketplace and identify what opportunities and risks exist and how DWF can exploit or prepare for them;
Maintain visibility and accessibility across the team / firm and manage client relationships during delivery of high quality service.
Our standard benefits cover medical insurance, life insurance, pension and 25 days annual leave. Our other flexible benefits include season ticket loans, gym memberships, health assessments, cycle to work scheme, retail vouchers and a buy as you earn share scheme. You will also have access to additional wellbeing programs such as an online GP and an Employee Assistance Programme.
DWF has adopted a hybrid working model, so our people enjoy a mix of home and office working.



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