Supervising Associate – FS Regulatory

• Advise hedge fund managers, institutional asset managers, and other buy-side clients on UK and EU financial services regulatory requirements
• Provide guidance on MiFID2 / MiFIR compliance, including conduct of business rules, best execution, transaction reporting, product governance, inducements, and client categorisation
• Advise on UCITS regulatory matters, including fund structuring, management company obligations, eligible assets, liquidity risk management, and cross-border distribution
• Counsel clients on AIFMD, including authorisation, marketing and distribution, delegation, depositary requirements, leverage, reporting obligations, and the UK AIFMD review
• Advise on the FCA's Consumer Duty and good consumer outcomes for products distributed to retail investors
• Advise on the UK change in control regime under Part XII of FSMA and manage FCA and PRA notifications
• Advise on FCA authorisation, permissions, variations of permission, and SM&CR
• Support regulatory change projects concerning the UK's post-Brexit regulatory framework
• Advise on structuring and launching new fund products and investment strategies
• Work with corporate, funds, and finance transactional teams while maintaining independent client relationships
• Provide day-to-day regulatory advice on operational and compliance queries
• Contribute to thought leadership, client briefings, and business development initiatives
• Collaborate with colleagues across Europe, the Middle East, and Asia
• Build direct client relationships, manage instructions, and support business development

Requirements

• Qualified solicitor (England & Wales)
• Approximately 4–6 years' PQE in financial services regulatory law
• Experience gained at a leading City or international law firm
• Strong technical knowledge of MiFID2 / MiFIR, UCITS, and AIFMD
• Demonstrable experience advising buy-side clients
• Solid understanding of the FCA's Consumer Duty and its implications for buy-side firms
• Experience advising on the UK change in control regime
• Sound knowledge of the FCA Handbook, including COBS, SYSC, SUP, and the Senior Managers & Certification Regime (SM&CR)
• Experience advising hedge fund managers, institutional asset managers, or other alternative investment fund managers
• Excellent drafting, research, and analytical skills
• Familiarity with the UK's post-Brexit regulatory divergence from EU frameworks is desirable
• Exposure to cross-border fund distribution and third-country regulatory matters is desirable
• Awareness of the FCA's current supervisory priorities for the wholesale buy-side sector is desirable
• Contentious regulatory experience is desirable
• Genuine enthusiasm for financial services regulation and willingness to learn evolving regulatory areas
• Strong work ethic and appetite for the subject matter
• Outstanding communication and interpersonal skills
• Ability to build trusted relationships with clients and colleagues
• Collaborative team player able to work independently
• Strong commercial awareness and ability to provide clear, practical, business-focused advice
• Ambition and desire to progress within a high-performing team

Core Competencies

Demonstrates expertise in UK and EU financial services regulatory requirements, including MiFID2, UCITS, and AIFMD compliance. Proven ability to advise buy-side clients on regulatory matters while building strong client relationships and contributing to business development initiatives.

Highest-signal resume keywords

• Qualified Solicitor (England & Wales)
• 4–6 Years' PQE in Financial Services Regulatory Law
• Strong Technical Knowledge of MiFID2 / MiFIR
• Experience Advising Buy-Side Clients
• Solid Understanding of FCA's Consumer Duty

ATS Optimization Keywords

Hard Skills

• MiFID2 Compliance
• UCITS Regulatory Matters
• AIFMD Compliance
• FCA Handbook Knowledge
• Drafting Skills
• Research Skills
• Analytical Skills
• Cross-Border Fund Distribution
• Contentious Regulatory Experience
• Regulatory Change Projects

Soft Skills

• Outstanding Communication Skills
• Interpersonal Skills
• Collaborative Team Player
• Strong Work Ethic
• Commercial Awareness

Certifications & Qualifications

• Qualified Solicitor (England & Wales)

Industry Keywords

• Financial Services Regulation
• Hedge Fund Managers
• Institutional Asset Managers
• Buy-Side Clients
• FCA
• PRA
• Post-Brexit Regulatory Framework
• Consumer Duty
• Change in Control Regime
• Senior Managers & Certification Regime (SM&CR)