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- Tasks: Join a global legal team to advise on regulatory compliance for trading strategies.
- Company: A leading investment firm known for quantitative investing and innovative technology.
- Benefits: Full-time role with opportunities for professional growth in a dynamic environment.
- Why this job: Make impactful contributions to compliance programs at a top hedge fund.
- Qualifications: Qualified solicitor with 4-8 years' PQE, ideally from a top international law firm.
- Other info: Contact James Franklin at Danos Group for a confidential discussion about this role.
The predicted salary is between 48000 - 72000 £ per year.
Our client is a global investment firm that manages assets and develops technology. The firm is known for its quantitative investing and use of mathematical models and computer programs and is headquartered in the USA.
Its financial services include asset management, quantitative investing, portfolio management and it trades stocks, bonds, options, futures, warrants, and convertible securities.
The London legal team is seeking to hire a Regulatory and Compliance Solicitor to join the global legal team, reporting into the UK General Counsel. The role will be involved in the firm’s trading strategies, and have opportunities to make key contributions to the design and implementation of the firm’s UK regulatory compliance program. In addition the role will include:
- Advising on the full range of regulatory and compliance issues that affect an investment firm regulated by the Financial Conduct Authority.
- Developing, implementing, and maintaining compliance and regulatory policies and procedures, advising the firm’s investment professionals on regulatory requirements, and collaborating with legal and compliance staff, including in the firm’s international offices to support trading and investment activities conducted from London.
- Horizon scanning and adherence to current and future regulatory legislation is paramount.
Candidate Requirements:
- You will be a qualified solicitor with at least 4 years’ PQE and likely to have up to 8 years’ PQE, but candidates with more or less experience will be considered.
- You should have trained and qualified within a top international law firm and ideally have had exposure to in-house regulatory and compliance teams. If you have been on secondment or have direct in-house experience, this would be highly advantageous.
- You should have excellent academics and be a strong communicator with an understanding of the hedge fund markets – particularly related to regulatory law affecting an asset manager.
- Out of the box experience including computer coding or advanced mathematics is not required, but would be seen as a demonstration of your understanding of this sector.
This is an exceptional opportunity for a highly skilled lawyer to join one of the pre-eminent hedge funds in the world. To discuss this role in confidence, please contact James Franklin, Managing Director at Danos Group.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Legal
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Regulatory and Compliance Counsel employer: Danos Group
Contact Detail:
Danos Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory and Compliance Counsel
✨Tip Number 1
Familiarize yourself with the specific regulatory frameworks that govern investment firms in the UK, particularly those enforced by the Financial Conduct Authority. This knowledge will not only help you in interviews but also demonstrate your commitment to understanding the role.
✨Tip Number 2
Network with professionals in the legal and compliance sectors of investment firms. Attend industry events or webinars where you can meet people who work in similar roles. This can provide you with insights into the company culture and expectations.
✨Tip Number 3
Stay updated on current trends and changes in regulatory legislation that impact asset management. Being able to discuss recent developments during your interview will show that you are proactive and engaged in the field.
✨Tip Number 4
If you have any experience with quantitative investing or have worked with technology in a legal context, be sure to highlight this in conversations. Even if it's not a requirement, it can set you apart as a candidate who understands the firm's unique approach.
We think you need these skills to ace Regulatory and Compliance Counsel
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description and understand the key responsibilities and requirements. Tailor your application to highlight your relevant experience in regulatory and compliance issues within investment firms.
Highlight Relevant Experience: In your CV and cover letter, emphasize your PQE, particularly any experience with regulatory compliance in financial services. Mention any secondments or in-house roles that align with the firm's needs.
Showcase Communication Skills: As a strong communicator is essential for this role, provide examples in your application of how you've effectively communicated complex regulatory matters to various stakeholders.
Demonstrate Sector Understanding: If you have any knowledge or experience related to hedge fund markets or regulatory law affecting asset managers, make sure to include that in your application. This will show your understanding of the sector and its challenges.
How to prepare for a job interview at Danos Group
✨Understand Regulatory Frameworks
Make sure you have a solid grasp of the regulatory frameworks that govern investment firms, especially those regulated by the Financial Conduct Authority. Be prepared to discuss how these regulations impact trading strategies and compliance programs.
✨Showcase Your Experience
Highlight your experience in regulatory and compliance roles, particularly if you've worked in-house or on secondment. Be ready to provide specific examples of how you've contributed to compliance programs or navigated complex regulatory issues.
✨Communicate Clearly
As a strong communicator, you should be able to explain complex legal concepts in simple terms. Practice articulating your thoughts clearly and concisely, especially when discussing regulatory requirements with investment professionals.
✨Demonstrate Industry Knowledge
Familiarize yourself with the hedge fund markets and current trends affecting asset managers. Showing that you understand the nuances of this sector will set you apart from other candidates.
