At a Glance
- Tasks: Advise clients on regulatory matters in the fast-paced financial services sector.
- Company: Join a modern firm known for its collaborative culture and commitment to diversity.
- Benefits: Enjoy hybrid working, competitive pay, and a strong benefits package.
- Other info: Opportunities for professional growth and a supportive team atmosphere.
- Why this job: Make a real impact in a dynamic environment with high-profile clients.
- Qualifications: 8+ years of experience in financial services regulation and strong client management skills.
The predicted salary is between 80000 - 100000 £ per year.
This role will focus heavily on the asset management and investments space, advising clients on the evolving regulatory landscape and helping shape commercially focused solutions within a fast-moving sector. The successful candidate will act as a trusted advisor across a broad range of regulatory matters including FCA compliance, regulatory perimeter issues, authorisations, governance frameworks, consumer investment products and ongoing conduct obligations.
You will also play a key role in supporting transactional and cross-border matters alongside Corporate and Funds teams, advising on the regulatory aspects of structuring, launches and investment strategies. This opportunity would suit someone who enjoys combining high-level advisory work with client relationship management, business development and team leadership responsibilities.
The Candidate
Applications are welcomed from senior Financial Services Regulatory lawyers with strong technical expertise and experience advising clients within the investments, asset management or broader retail financial services sector. Candidates should be able to demonstrate:
- Strong knowledge of FCA regulation and the wider UK regulatory framework
- Experience advising on matters such as MiFID II, UCITS, AIFMD, ESG regulation and SMCR
- Confidence handling complex advisory matters autonomously
- Strong client management and stakeholder engagement skills
- Experience supervising and mentoring junior lawyers
- A commercial and solutions-focused mindset
- An interest in contributing to the continued growth of a specialist regulatory practice
Experience across wider financial services areas such as payments, insurance, e-money or capital markets would be advantageous, though not essential.
The Firm
The successful candidate will join a collaborative national Commercial team working across multiple UK offices. The wider group is recognised for its strength across technology, data, intellectual property, outsourcing, infrastructure and complex commercial advisory work. The firm is known for its modern and flexible approach, strong internal culture and commitment to innovation, diversity and professional development. It offers genuinely high-quality work alongside a supportive and inclusive environment where individuals are encouraged to develop their own profile and specialism.
What's on Offer
- National platform with high-profile clients
- Complex and market-leading regulatory work
- Genuine progression opportunities
- Hybrid and flexible working arrangements
- Strong benefits package and competitive remuneration
- Supportive, collaborative and entrepreneurial culture
We employ the best people for the job at hand and actively encourage applications from all qualified candidates, regardless of gender, age, race, religion, sexual orientation, disability, educational background, parental status, gender identity or any other protected characteristic. We champion and celebrate diversity at Yolk allowing our team to bring their whole selves to work.
Principal Associate / Legal Director - Financial Services Regulatory Practice in Birmingham employer: Broughton Group
Join a leading firm that champions innovation and diversity, offering a collaborative environment where your expertise in financial services regulation will thrive. With a commitment to professional development and a flexible hybrid working model, you will engage with high-profile clients on complex regulatory matters while enjoying genuine progression opportunities and a supportive culture that values your contributions.
