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
#J-18808-Ljbffr
Lawyer- Retail Investment Services in Leeds 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.
