Funds Regulation Associate

2 weeks ago

London Area, United Kingdom Rutherford Full time

Our Client

Our client is a prestigious firm known for its expertise in non-contentious financial regulation. Consistently highly ranked in multiple directories, the firm boasts a reputation for excellence and professional integrity. The Partners are deeply invested in the professional development of their teams, creating a supportive and growth-oriented environment. With a global presence, our client provides top-tier legal services to leading financial institutions, investment funds, and corporate clients worldwide.


The Role

As a Funds Regulation Associate, you will play a pivotal role in advising clients on a wide range of regulatory matters. Working closely with Partners and Senior Associates, you will provide strategic guidance and legal support to clients navigating complex regulatory frameworks in the financial services sector. Your responsibilities will include but are not limited to:

  • Advising clients on innovative strategies for business development, often with a strong international focus, involving expansion into new markets and the introduction of novel products and platforms. This encompasses assessing the necessary licensing and marketing requirements and providing tailored advice on structuring business expansions.
  • Providing expert guidance on navigating the regulatory framework in the UK, including compliance with marketing restrictions and staying within regulatory boundaries.
  • Offering specialized advice on netting and collateral arrangements to ensure compliance with relevant regulations.
  • Delivering thorough insights into the authorization processes for banks, asset managers, and investment firms.
  • Providing comprehensive support for fund formation endeavors, including regulatory classification of funds, application for authorization of funds/fund managers, and meticulous review of constitutional documents.


Requirements

  • 2-5 PQE Lawyer with experience in a broad range of fund regulation, including open-ended and retail investment fund structures.
  • Strong knowledge of regulatory frameworks governing investment funds
  • Experience advising clients on AIFMD, UCITS, and MiFID II regulations preferred.
  • Excellent analytical skills with the ability to interpret complex legal issues and provide practical solutions.


About Rutherford

Rutherford is London’s leading fund legal search firm. With over 14 years of providing top roles to legal talent across the buyside, from private equity to debt, infra and real estate to public funds, both in-house and private practice (fund structuring to fund finance). Our clients include the leading law firms as well as tier-one asset managers, alternatives funds and VCs. If you are interested in knowing who is hiring in this space, or perhaps you are thinking about a move later in the year, please reach out for a confidential discussion with one of our specialists.

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