FRP Advisory Senior Lawyer

3 weeks ago


London, Greater London, United Kingdom FRP Advisory Full time
Key Responsibilities

Leadership and Strategy:

  • Lead the in-house legal team, providing guidance and support as necessary.
  • Act as a key advisor to senior management on compliance and legal matters.

FCA Regulatory Compliance Oversight:

  • Oversight of FCA regulated mandates within Corporate Finance.
  • Manage the approval/removal of individuals as SMF3 (Executive Director) and certified staff on the FCA register.
  • Ensure the certification of staff, including annual renewals and issuance of certificates.

Compliance and Regulatory Advice:

  • Provide expert advice on the application of SM&CR rules.
  • Oversee the review and classification of assignments as regulated/unregulated and clients as retail/professional.
  • Review engagement letters and new client forms to ensure they have been correctly completed and signed off.


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