Regulatory Legal Advisor

4 weeks ago


London, Greater London, United Kingdom Bruin Full time
Position Overview

Regulatory Legal Advisor

Location: London

Compensation: Competitive + Bonus + Benefits

Reports to: Senior Legal Advisor

Employment Type: Permanent/ Full Time

Work Arrangement: Hybrid working model

Direct Reports: N/A

Role Summary:

This position is with a prominent Pensions Insurance Specialist and will report directly to the Senior Legal Advisor within the legal department. The successful candidate will be a seasoned Lawyer with a minimum of 4 years of post-qualification experience focusing on UK Regulatory Law. You will deliver high-quality, commercially oriented regulatory legal counsel to the Compliance team and the broader organization, while also supporting the firm on various strategic initiatives.

Key Responsibilities:

  • Provide expert legal guidance on UK financial regulatory matters, including FCA and PRA regulations, compliance obligations, market conduct, and market abuse.
  • Support the Legal and Compliance teams and the wider organization to ensure adherence to all applicable regulations.
  • Advise on upcoming regulatory changes that may impact the firm and assist in drafting responses to FCA and PRA consultation documents, as well as relevant trade associations.
  • Oversee the management of the firm's SM&CR framework, ensuring compliance with ongoing regulatory responsibilities.
  • Lead specific regulatory projects as needed, ensuring that the firm's policies and procedures are effective and appropriate.
  • Handle routine inquiries and projects related to existing regulatory issues with diligence and a commitment to high standards of service.
  • Communicate effectively to foster a collaborative approach and maintain a consistently high standard of service, acting as an ambassador for customer service excellence in all interactions.
  • Coordinate and engage external legal counsel as necessary for the aforementioned responsibilities.

Qualifications and Skills:

  • UK-qualified Solicitor or equivalent qualification.
  • Minimum of 4 years of relevant post-qualification experience within the financial services sector.
  • In-depth knowledge of the regulatory landscape in the UK and the EU.
  • Experience in advising on regulatory compliance matters, including FSMA, COBS, the FCA's Consumer Duty, MAR, and other pertinent laws and regulations.
  • Ability to remain informed about evolving legal and regulatory developments in the financial services industry.
  • Demonstrated project and transaction management capabilities.
  • Proven commercial acumen and a proactive approach to adding value in an in-house setting.
  • Sound judgment and a mature approach to legal issues.
  • Self-motivated with a proactive mindset, willing to take on additional responsibilities as required.
  • Strong attention to detail and a commitment to accuracy in all work.

Our goal is straightforward – to excel for our people, clients, and communities.

We are committed to making a positive impact both at work and beyond, starting with the recruitment of top talent without regard to race, religion, color, national origin, age, gender, sexual orientation, marital status, or disability.



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