About the job
Our banking client is seeking an experienced Senior Financial Services Regulatory and Investments lawyer to support the delivery and launch of a key strategic investments proposition.
This is a hands-on interim assignment, offering the opportunity to lead a critical legal workstream for a major investments project end-to-end within a fast-moving regulatory and product environment. The successful candidate will work closely with legal, compliance, product, operations and technology teams, supporting the business through a significant growth phase.
Key Details
- Start Date: ASAP
- Duration: Initial 4 month contract with possibility to go permanent
- Rate: £Day rate DOE
- Working Pattern: Full Time
- Location: Hybrid/London. Flexibility for remote candidates will be considered
Key Responsibilities
- Regulatory Engagement: Leading ongoing engagement with the FCA, including responding to queries relating to Variation of Permission and ensuring alignment with regulatory submissions
- Commercial Contracting: Drafting, reviewing and negotiating agreements with key partners including platforms, custodians, fund managers and technology vendors
- Client Documentation: Finalising execution-only investment documentation, including terms and disclosures to FCA standards
- Cross-functional Collaboration: Working closely with compliance, product, operations and technology teams to ensure delivery at pace
- Governance & Advisory: Supporting governance forums and providing clear legal advice on regulatory risk, product design and financial promotions
- BAU & Wider Support: Assisting with broader legal matters including commercial contracts, data protection and supporting adjacent wealth propositions
Requirements
- UK-qualified lawyer, minimum 5+ years PQE with strong financial services regulatory and investments experience
- Financial Services Expertise: Strong experience in FCA regulation, including permissions, VoP processes and regulatory engagement
- Investments Knowledge: Solid understanding of execution-only models, custody and platform structures (COBS, PROD, SYSC, CASS)
- Commercial Acumen: Experience handling complex commercial and technology contracts within regulated environments
- Consumer Duty Awareness: Familiarity with client asset protection, disclosure obligations and Consumer Duty requirements
- Proactivity & Ownership: Ability to pick up in-flight projects, make pragmatic decisions and drive delivery forward
- Stakeholder Management: Strong communication skills with the ability to advise senior stakeholders clearly and effectively
To express your interest in this opportunity, please click apply now.
