Wealth Lawyer

2 months ago

London, UK, United Kingdom Montresor Legal Full time

Our client is looking for a Contract Lawyer.


This role is part of the Wealth Capital Markets Legal team and is based in London.


The Capital Markets Legal team covers a wide and diverse range of products and their regulation, including primary and secondary market equity/fixed income trading; multi-asset OTC derivatives and structured products, and exchange-traded derivatives.


The role sits within the Wealth Legal Team, where other areas of coverage undertaken are Alternatives, Banking & Lending, Business Strategy & Initiatives, Client Segments and Managed Investments.


A successful candidate would be familiar with UK/EEA financial services/private bank/wealth management regulation and legal principles and have a good understanding of Capital Markets products.

Key projects and responsibilities:


The role will provide key legal support on Capital Markets matters, participating in strategic initiatives, providing subject matter expertise and interpretations of relevant laws, rules, regulations, and industry practices, and advising business management on legal matters impacting the business.


We would expect a successful candidate to be able to carry out the following.


• Objectively evaluate Wealth Capital Markets proposals and queries by applying institutional knowledge and risk appetite against industry standards, widely accepted business practices, laws, rules, and regulatory guidelines, escalating as appropriate.

• Collaborate across internal lines of business and control/support functions to achieve coordinated and efficient outcomes on matters of common interest; coordinate closely with the Legal team on a regional and global basis.

• Work with their counterparts and other key stakeholders to develop best practices across teams and in connection with various initiatives, queries and regulatory implementation/review processes.

• Participate in Wealth planning and development initiatives; contribute to business objectives by providing thought leadership using knowledge of industry, laws, and regulations.

• Proactively identify, evaluate, and contribute to the appropriate management of legal, regulatory, and reputational risk by collaborating with Compliance & Risk, following relevant legal developments, participating in internal projects, escalating as appropriate.

• Manage day-to-day legal activities as a subject matter expert in Capital Markets (with a particular focus on securities, including structured products) and provide advisory services to business partners.

• Monitor management of complex legal issues and transactions, escalating when necessary.

• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behaviour, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.

• Work closely with Global Legal Solutions team.


Example projects and work include:


• Partnering with Cross Enterprise Legal and/or Wealth lawyers, and business teams, to implement regulation, working with Legal product teams and industry working groups to advocate for regulatory change;

• Leading on regulatory implementation projects, including the application of financial services, ESG and consumer protection, regulations as they pertain to the Capital Markets business;

• Reviewing the regulatory pipelines with Cross Enterprise Legal and/or Wealth lawyers and Business teams, including how upcoming regulation applies to Wealth;

• Reviewing new business initiatives (such as proposed new Capital Markets product launches and processes to simplify or improve documentation) );

• Responding to technical and/or regulatory queries in respect of securities trading (such as those pertaining to market abuse regulation, strategic equity transactions or bespoke trading activities)

• Responding to queries in relation to derivatives trading with a particular focus on structured products (such as advising on variations to permitted structures and potential changes to offering models)

• Reviewing and advising on cross border licensing and marketing requirements in relation to Capital Markets products;

• Working with the Business in relation to offering new products such as digital asset ETPs;

• Coordinating with Litigation legal team to handle litigation matters and certain regulatory responses;

• Advising on product reviews and the application of regulation to ascertain and implement best practice;

• Negotiating and drafting documentation such as broker agreements and investor side letters;


Skills:

• Excellent technical skills (including drafting skills), and analytical ability.

• Strong business judgement and commercial attitude.

• Ability to multi-task and manage competing demands.

• Ability to analyse complex legal issues, develop creative solutions and provide sound legal advice to the business.

• Team Work: Ability to engage with both senior legal and business teams on a partnership basis as well as an ability to work independently as required.

• Strong attention to detail: Ability to apply the care and exactness required in interpreting and applying the rules.

• Able to meet the time demands of a profitable and client and market driven business.

• Conceptual thinking, creativity: Ability to view the larger picture of the business model and associated risks, and to advise senior management on appropriate structures, applicable regulation and best practice.

• Communication: Ability to assimilate complex issues and communicate concisely and clearly to all levels of the organisation.

• Able to keep on top of a rapidly evolving regulatory environment whilst leading the business to develop innovative but appropriate solutions and structures.

• Able to identify legal risk and to escalate issues on an appropriate basis.

• Able to work in a professional but demanding environment.

• Licence in good standing to practice law.


Knowledge/Experience:

Good knowledge of financial services, and experience with private wealth management or investment advisory services for individuals.

Knowledge of Capital Markets products. Knowledge of securities trading, ETPs and structured products would be particularly beneficial.

Experience either in private practice or in-house with investment products and applicable UK/EU and US regulation would be beneficial (e.g. MiFID/MiFIR, CSDR, PRIIPs, MAR, CASS, AIFMD, ESG-rules, Benchmark Regulation, Consumer Duty, EMIR, Dodd-Frank and Volcker).Qualifications:

The successful candidate will ideally be 10+ years PQE (or equivalent).

Previous experience working as a lawyer in a major international bank, a large law firm and/or a regulatory authority will be beneficial.

The anticipated start date is ASAP.

The expected duration of the engagement is 12 months.

The individual will be expected to work on a hybrid basis in the London office.

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