Senior Associate

3 weeks ago

London, United Kingdom DWF LLP Full time

**About us**:

- DWF is a global legal business providing high quality legal services across legal advice and managed services. We empower people to be themselves within an inclusive and supportive environment, enabling everyone to achieve their full potential in line with their abilities and career aspirations.**About the role**:

- 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.- The FSR team already has a number of established clients in the retail investments space and a rare specialism and expertise in the wealth management sub-sector. 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.**Main function of role**:
The day to day work includes advising on new business propositions and distribution models, including drafting the accompanying agreements like DFM intermediary agreements ('Reliance on Others' and 'Agent as Client' models); 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.- We are also regularly instructed by firms facing enhanced supervision from or intervention by the FCA, including s.166s, VREQs and OIREQs and internal investigations. 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).**About you**:
**Key skills / knowledge required**:

- Wider experience of general regulatory advice, for example, advising on business models, systemic liability, complaint handling and/or SM&CR is desirable.
- Over time, able to develop the business in terms of both existing and new clients.
- Proven track record of working with a high level of autonomy and responsibility.
- Effective team player with collaborative and supportive approach.
- Experience of effectively supervising and developing Trainees and/or Paralegals.
- Proactive in developing own expertise and skills and in sharing learning with others.

***

**Main Duties**:

- 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;
- Develop strong internal and external working relationships based on trust and respect, ensuring there is regular communication within the practice area/group and with the external clients;
- 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 deliv

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