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Associate, Financial Services
3 months ago
The Role
An opportunity has arisen for a mid-level associate to join our Financial Services team in London.
You will work closely with experienced partners and associates covering a broad range of financial services issues covering advisory and contentious regulatory matters.
The Team
The team helps clients to structure their business in the most efficient way, minimising regulatory burdens
and complying with relevant regulations, as well as advising on high profile and complex contentious regulatory matters
Advisory
The team assist in setting up new businesses and product lines and draft and negotiate client, brokerage, investment management and custody agreements as well as compliance documentation.
The team also advises on perimeter issues, the rules governing thepromotion and sale of financial products, and negotiates and documents the regulatory aspects of corporate transactions.
Contentious
Equally, there is scope to get involved in a range of contentious matters, including: regulatory enforcement proceedings for a range of regulators including PRA, FCA and Ofgem and other third party investigations and disciplinary matters such as those conductedby Exchanges under their own procedures, high profile internal investigations and lessons learned reviews with a multi-jurisdictional scope including in relation to skilled person reviews and a broad range of regulatory issues including in relation to marketabuse, anti-money laundering, governance, conduct and the senior managers and certification regime.
Skills and Experience Required
- Good knowledge of the Financial Services and Markets Act regime,
- A demonstrable understanding European financial services law and current developments,documentation in the market, including customer terms of business and senior managers regime. Knowledge of MiFID2, EMIR, PRIIPS, benchmark negotiation would be an advantage.
- Experience in financial services regulatory investigations and enforcement gained from a leading law firm including advising clients on all stages of the enforcement process such as making representations to the Regulatory Decisions Committee and referralsto the Upper Tribunal
- Significant involvement in conducting internal investigations including gathering and reviewing materials and considering issues such as legal professional privilege; conducting interviews and preparation of reports for senior management and the regulator
- Experience of advising on money laundering and issues arising from the Proceeds of Crime Act 200
- Detailed knowledge of the Financial Services and Markets Act regime and experience of the key regulatory bodies including the FCA and PRA and of working with transactional teams
- Regulatory asset management experience
- Enthusiasm, an excellent academic background and a commitment to develop and share technical skills.
- A strong and demonstrable capacity for client care and the ability and to work as part of an effective team.
- The ability to handle complex matters, to conduct detailed analysis and to give written and oral advice
- Focus on efficiency
- Develop our business/clients (maintain client relationships and deliver excellent service)
- Work effectively with and through people
Diversity and Inclusion
At Norton Rose Fulbright we value difference and promote a culture of respect for each individual.
We encourage workforce diversity in all aspects and at all levels and in doing so create an environment where everyone can realise their full potential andcareer ambitions on the basis of merit and skill.
The Norton Rose Fulbright office in London has been awarded the Disability Two Ticks Symbol by Jobcentre Plus.The symbol identifies those employers who have agreed to meet five commitments regarding the recruitment, employment, retention and career developmentof disabled people.
