The Investments team (part of the Investments, Insurance & Redress department in the Legal Division) advises on all aspects of the conduct regulation of retail investment services. Particular projects/areas of focus include:
The Consumer Duty as it relates to retail investment services as well as cross-cutting issues
The Advice Guidance Boundary Review
Financial promotions related to retail investment services as well as cross-cutting issues
The activities of appointed representatives related to retail investment services as well as cross-cutting issues
Self-invested personal pensions and funeral plans
Role responsibilities
Advise on the application and effect of regulatory requirements and powers to ensure firms comply with all applicable rules, legislation and law
Devise and implement creative and pragmatic solutions
Be fully involved in the FCA's supervisory and policy work, including the development of policy and drafting rules and guidance in the FCA Handbook
Have a high level of ownership and responsibility for your actions
Supervise less experienced members of the team
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Lawyer- Retail Investment Services in Edinburgh employer: UK Regulators' Network
The UK Regulators' Network in Birmingham is an exceptional employer, offering a dynamic work culture that prioritises collaboration and innovation. With a strong focus on employee growth, we provide ample opportunities for professional development and mentorship, ensuring that our team members are equipped to drive meaningful change. Our commitment to fostering a supportive environment makes us an attractive choice for those looking to make a significant impact in the regulatory landscape.
