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For Companies At a Glance
- Tasks: Provide practical legal advice on UK financial regulation and engage with various teams.
- Company: Join Interactive Brokers, a leading global financial services company known for innovation.
- Benefits: Competitive salary, performance bonuses, health plans, and career development support.
- Other info: Dynamic work environment with opportunities for growth and a focus on diversity.
- Why this job: Make a real impact in financial regulation while working with cutting-edge technology.
- Qualifications: Solid knowledge of FCA Handbook and experience in retail client matters required.
The predicted salary is between 60000 - 80000 ÂŁ per year.
Company Overview
Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting‑edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barron’s has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi‑national team and be a part of a company that simplifies and enhances financial opportunities using state‑of‑the‑art technology.
About the Role
We are looking for a regulatory lawyer to join our in‑house legal team at Interactive Brokers. You will provide practical, business‑focused advice on UK financial regulation, with a strong focus on the Consumer Duty, and product and disclosure requirements. The role involves working directly with compliance, risk, operations, and trading teams and requires the ability to manage your own workload independently. Support is available from senior lawyers on complex or novel matters. The role suits a lawyer who is intellectually curious about regulation, enjoys engaging directly with the business, and is motivated by translating regulatory requirements into practical outcomes.
What You Will Do
- Advise on the application of the FCA Handbook, UK MiFID II, and Consumer Duty in a live trading and brokerage environment
- Monitor and assess regulatory developments and translate them into timely, actionable advice ahead of implementation deadlines
- Advise on new product launches and changes to existing products, particularly where offered to retail clients
- Draft and review client‑facing documentation including terms of business, disclosures, and client communications
- Act as a key point of contact for regulatory queries across compliance, risk, operations, and trading teams
- Deliver training and guidance to business teams on regulatory requirements and developments
- Review work produced by junior team members and support their development
What We Are Looking For
Required
- Solid working knowledge of the FCA Handbook, UK MiFID II, and Consumer Duty
- Experience advising on retail client matters, including product governance, disclosures, and client communications
- Ability to produce clear, practical advice and well‑drafted documents with limited supervision
Preferred
- Experience in a trading platform, brokerage, or comparable financial services environment
- A combination of private practice and in‑house experience
- Exposure to horizon scanning, regulatory change management, or front‑office advisory work
- Experience supervising or reviewing the work of junior lawyers
Location and hours: 20 Fenchurch Street, London, EC3M 8AF
Career support and development
- Salary commensurate with experience
- Performance‑based discretionary cash bonus scheme
- Discretionary stock grant
- Group Life Assurance cover
- Group Income Protection
- Occupation pension scheme based on Gross earnings
- Above statutory annual leave, increasing with service
- We currently offer daily company‑paid lunch and healthy snack options throughout the day (when working from the office)
- Access to Private Medical Insurance, Dental Plan and/or Health Cash Plan (including dependants)
- Travel season ticket loans
- Cycle to work scheme.
*on successful completion of the probation period
Interactive Brokers is an Equal Opportunity Employer committed to offering employees a diverse, equitable and inclusive workplace. If you have what it takes to become part of our London office team, please apply today!
Interactive Brokers (UK) values in promoting, monitoring, implementing best practices, policies and procedures and culture in adhering to and promoting the FCA Consumer Duty with the organisation.
Legal Counsel - Financial Regulation/Trading London, United Kingdom employer: Interactive Brokers Group, Inc.
Contact Detail:
Interactive Brokers Group, Inc. Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Legal Counsel - Financial Regulation/Trading London, United Kingdom
✨Tip Number 1
Network like a pro! Reach out to folks in the financial regulation space, especially those who work at Interactive Brokers or similar firms. A friendly chat can open doors and give you insights that might just land you an interview.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the FCA Handbook and UK MiFID II. We want to see that you can translate complex regulations into practical advice, so think about real-world examples where you've done this before.
✨Tip Number 3
Showcase your ability to work independently while still being a team player. During interviews, share stories about how you've managed your workload and collaborated with compliance or trading teams to tackle regulatory challenges.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you're genuinely interested in joining our dynamic team at Interactive Brokers.
We think you need these skills to ace Legal Counsel - Financial Regulation/Trading London, United Kingdom
Some tips for your application 🫡
Know Your Stuff: Make sure you have a solid understanding of the FCA Handbook, UK MiFID II, and Consumer Duty. We want to see that you can translate complex regulations into practical advice, so don’t hold back on showcasing your knowledge in your application.
Tailor Your Application: When applying, tailor your CV and cover letter to highlight your experience with retail client matters and product governance. We love seeing how your background aligns with what we do, so make it personal and relevant!
Show Your Curiosity: We’re looking for someone who’s intellectually curious about regulation. In your application, share examples of how you’ve engaged with regulatory changes or tackled complex legal issues. This will help us see your passion for the field!
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen to join our team at Interactive Brokers!
How to prepare for a job interview at Interactive Brokers Group, Inc.
✨Know Your Regulations
Make sure you brush up on the FCA Handbook, UK MiFID II, and Consumer Duty. Being able to discuss these regulations confidently will show that you're not just familiar with them but can also apply them practically in a trading environment.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've advised on retail client matters or worked on product governance. This will help demonstrate your ability to translate regulatory requirements into actionable advice, which is key for this role.
✨Engage with the Business
Think about how you can engage directly with compliance, risk, operations, and trading teams. Be ready to discuss how you would approach collaboration and communication within these departments to ensure smooth regulatory compliance.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific regulatory challenges or changes. Practising your responses to hypothetical scenarios will help you articulate your thought process and problem-solving skills effectively during the interview.