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- Tasks: Lead regulatory compliance and licensing for a top prime brokerage firm.
- Company: Join a leading firm in the financial services sector, known for innovation and excellence.
- Benefits: Competitive salary, potential for remote work, and opportunities for professional growth.
- Why this job: Make an impact in financial law while working with top regulatory bodies and diverse clients.
- Qualifications: Qualified solicitor with 5+ years in financial services and strong regulatory knowledge.
- Other info: Contact gbalasubrama@mlaglobal.com for more details on this exciting opportunity.
The predicted salary is between 104000 - 138000 £ per year.
We are working with a leading prime brokerage firm who are currently looking for a financial services lawyer to work on the following matters:
- Lead and support regulatory licensing applications and ongoing compliance with UK and international financial regulations.
- Serve as the primary legal liaison with regulatory authorities, including the FCA and other relevant bodies.
- Oversee product governance frameworks to ensure financial products comply with regulatory standards and align with business objectives.
- Review and approve marketing materials and client communications to ensure compliance with applicable laws and regulations.
- Provide legal guidance on institutional business activities, including trading, liquidity provision, and prime brokerage services.
- Assist in drafting, negotiating, and reviewing client agreements, partnerships, and vendor contracts.
Key Requirements for the role:
- Qualified solicitor in the UK with a minimum of 5 years of post-qualification experience.
- Proven experience working within financial services, preferably at a leading brokerage, investment firm, or financial regulator.
- Strong understanding of UK and EU regulatory frameworks, including FCA rules, MiFID II, and other relevant financial regulations.
- Experience in handling regulatory licensing applications and managing relationships with regulators.
- Expertise in product governance, marketing compliance, and financial services law.
Please contact: gbalasubrama@mlaglobal.com to find out more about this opportunity.
Financial Services Lawyer- Regulatory Compliance- £130k-£165k- Prime Brokerage Firm employer: Major, Lindsey & Africa
Contact Detail:
Major, Lindsey & Africa Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Financial Services Lawyer- Regulatory Compliance- £130k-£165k- Prime Brokerage Firm
✨Tip Number 1
Network with professionals in the financial services sector, especially those who have experience with regulatory compliance. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in the field.
✨Tip Number 2
Familiarise yourself with the specific regulatory frameworks mentioned in the job description, such as FCA rules and MiFID II. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in this fast-paced environment.
✨Tip Number 3
Consider reaching out to current or former employees of the prime brokerage firm to gain insights into their culture and expectations. This can provide you with valuable information that can be used to tailor your approach during the interview process.
✨Tip Number 4
Prepare to discuss specific examples from your past experience where you successfully managed regulatory compliance issues or liaised with regulatory authorities. Having concrete examples ready will showcase your expertise and problem-solving skills effectively.
We think you need these skills to ace Financial Services Lawyer- Regulatory Compliance- £130k-£165k- Prime Brokerage Firm
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in financial services law, particularly your work with regulatory compliance and licensing applications. Use specific examples that demonstrate your understanding of UK and EU regulatory frameworks.
Craft a Strong Cover Letter: In your cover letter, emphasise your qualifications as a solicitor and your relevant experience in the financial sector. Mention your familiarity with FCA rules and your ability to liaise with regulatory authorities effectively.
Showcase Relevant Experience: When detailing your previous roles, focus on your achievements related to product governance and compliance. Highlight any instances where you successfully navigated complex regulatory environments or improved compliance processes.
Proofread Your Application: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. A polished application reflects your attention to detail, which is crucial in the legal field.
How to prepare for a job interview at Major, Lindsey & Africa
✨Know Your Regulations
Make sure you have a solid understanding of UK and EU regulatory frameworks, especially FCA rules and MiFID II. Be prepared to discuss how these regulations impact the role and your previous experiences in navigating them.
✨Demonstrate Your Experience
Highlight your post-qualification experience and any specific cases where you've successfully handled regulatory licensing applications or compliance issues. Use concrete examples to showcase your expertise in financial services law.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills in real-world situations. Think about past challenges you've faced in regulatory compliance and how you resolved them, as this will demonstrate your practical knowledge.
✨Showcase Communication Skills
As the primary legal liaison with regulatory authorities, strong communication skills are essential. Be ready to discuss how you've effectively communicated complex legal concepts to non-legal stakeholders and ensured compliance across teams.
