Senior Regulatory Lawyer

1 month ago

London, UK, United Kingdom Chadwick Nott Legal Recruitment Full time

Chadwick Nott are working with a wealth and asset management business who are seeking to hire an experienced Senior Regulatory Lawyer to join their growing business.


The ideal candidate will have previously worked for a regulated financial services organisation in a similar capacity and be able to provide expert advice on a wide range of regulatory matters, ensuring that the company’s operations comply with applicable laws and regulations and support legal risk management across the Group. This role involves close collaboration with senior management, working closely with the Compliance team and other internal departments to navigate the complex regulatory landscape pertaining to the businesses.


Job Responsibilities:


  • Advise on and interpret regulations issued by financial regulatory bodies, including the FCA and other relevant regulators.
  • Act as primary legal point of contact for all regulatory legal queries and enquiries.
  • Develop, implement, and ensure the company’s policies, procedures and products across the various business areas are compliant with current and evolving regulations.
  • Lead the developments and implementation of regulatory compliance programmes working closely with compliance colleagues.
  • Provide legal counsel on complex regulatory matters including licensing, reporting obligations and risk management
  • Draft review and negotiation contracts, agreements and other legal documents in line with regulatory requirements. This would include terms of business and documentation in relation to fund related matters.
  • Lead the legal structuring, formation and launch of investment funds across various asset classes.
  • Identify and assess regulatory risks, including identifying and mitigating legal risks associated with fund operations and investments and work with cross-functional teams to develop mitigation strategies.
  • Monitor and report on regulatory changes, trends and provide proactive advice on potential implications for the businesses within the group.
  • Ensure timely and effective communication of regulatory risks to senior management.
  • Provide training and guidance to internal teams on regulatory developments and their impact on the businesses within the group.
  • Oversee and effectively manage and work with external legal counsel on regulatory legal matters. Liaise and support the management of external legal counsel in line with targets and budgetary requirements whilst ensuring high-quality external legal support.
  • Oversee / monitor more junior members of the team (as appropriate) and willingness to take on line management responsibilities.
  • Foster a culture of compliance and ethical behaviour across the group.


Job Requirements

  • Legal qualification: 6 + yrs PQE with broad regulatory legal experience working within a regulated financial services organisation
  • In house experience is desirable but not compulsory
  • A well rounded, broadly based and highly regarded regulatory legal specialist with first rate academic credentials, demonstrable intellectual abilities and an excellent career track record to date.
  • An in-depth understanding of the financial services industry and demonstrable wide-ranging regulatory legal expertise.
  • A business oriented lawyer with the breadth of experience to cover a broad range of legal and regulatory issues across the entire group, individual business areas and central functions


This will be a hybrid opportunity requiring 3 days a week based from the central London or Bristol office


Perm Salary circa 130-140K + benefits.


If you feel you have the skills and experience to be suitable for this position, please send your CV for consideration.

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