Associate - Fs Reg

1 week ago

London, Greater London, United Kingdom Norton Rose Fulbright Full time

Practice Group / Department:
Corporate Team FS - London

Job Description:

We're Norton Rose Fulbright - a global law firm with over 50 offices and 7,000 employees worldwide.

We provide the world's preeminent corporations and financial institutions with a full business law service.


As well as the relevant skills and experience, we're looking for people who are innovative, commercial and value the work that they do.

To attract the best people, we strive to create a diverse and inclusive environment where everyone can bring their whole selves to work, have a sense of belonging, and realize their full career potential.

We value difference and actively promote a culture of respect for each individual, encouraging and creating inclusion.


Our new hybrid working model allows our people to have more flexibility in the way they choose to work from both the office and a remote location, while continuing to deliver the highest standards of service.

We offer a range of family friendly and inclusive employment policies and provide access to programmes and services aimed at nurturing our people's health and overall wellbeing.

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 the promotion 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 conducted by 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 market abuse, 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 referrals to 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, Equity and Inclusion

To attract the best people, we strive to create a diverse and inclusive environment where everyone can bring their whole selves to work, have a sense of belonging, and realize their full career potential.


Our new enabled work model allows our people to have more flexibility in the way they choose to work from both the office and a remote location, while continuing to deliver the highest standards of service.

We offer a range of family friendly and inclusive employment policies and provide access to programmes and services aimed at nurturing our people's health and overall well

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