At a Glance
- Tasks: Advise financial institutions on complex regulatory matters and shape solutions in a fast-paced environment.
- Company: Join a leading firm known for its collaborative culture and innovative approach.
- Benefits: Enjoy hybrid working, competitive salary, and a strong benefits package.
- Other info: Be part of a diverse team that values professional growth and inclusivity.
- Why this job: Make a real impact in the evolving financial services sector while developing your career.
- Qualifications: 8+ years of experience in Financial Services Regulatory law with strong FCA knowledge.
The predicted salary is between 80000 - 100000 £ per year.
This is a strategic senior hire within a highly regarded specialist team that advises a broad range of financial institutions, asset managers, investment firms, fintech businesses and retail financial services providers on complex regulatory matters. The team has an excellent reputation in the market and works with an impressive portfolio of national and international clients.
This role will focus heavily on the asset management and investments space, advising clients on the evolving regulatory landscape and helping shape commercially focused solutions within a fast-moving sector. The successful candidate will act as a trusted advisor across a broad range of regulatory matters including FCA compliance, regulatory perimeter issues, authorisations, governance frameworks, consumer investment products and ongoing conduct obligations.
You will also play a key role in supporting transactional and cross-border matters alongside Corporate and Funds teams, advising on the regulatory aspects of structuring, launches and investment strategies. This opportunity would suit someone who enjoys combining high-level advisory work with client relationship management, business development and team leadership responsibilities.
Applications are welcomed from senior Financial Services Regulatory lawyers with strong technical expertise and experience advising clients within the investments, asset management or broader retail financial services sector. Candidates should be able to demonstrate:
- Strong knowledge of FCA regulation and the wider UK regulatory framework
- Experience advising on matters such as MiFID II, UCITS, AIFMD, ESG regulation and SMCR
- Confidence handling complex advisory matters autonomously
- Strong client management and stakeholder engagement skills
- Experience supervising and mentoring junior lawyers
- A commercial and solutions-focused mindset
- An interest in contributing to the continued growth of a specialist regulatory practice
- Experience across wider financial services areas such as payments, insurance, e-money or capital markets would be advantageous, though not essential.
The successful candidate will join a collaborative national Commercial team working across multiple UK offices. The wider group is recognised for its strength across technology, data, intellectual property, outsourcing, infrastructure and complex commercial advisory work. The firm is known for its modern and flexible approach, strong internal culture and commitment to innovation, diversity and professional development. It offers genuinely high-quality work alongside a supportive and inclusive environment where individuals are encouraged to develop their own profile and specialism.
What's on Offer:
- National platform with high-profile clients
- Complex and market-leading regulatory work
- Genuine progression opportunities
- Hybrid and flexible working arrangements
- Strong benefits package and competitive remuneration
- Supportive, collaborative and entrepreneurial culture
We employ the best people for the job at hand and actively encourage applications from all qualified candidates, regardless of gender, age, race, religion, sexual orientation, disability, educational background, parental status, gender identity or any other protected characteristic. We champion and celebrate diversity at Yolk allowing our team to bring their whole selves to work.
Principal / Legal Director - Financial Services Regulatory in West Bromwich employer: Yolk Recruitment Ltd
Join a leading firm that champions innovation and diversity, offering a collaborative environment where your expertise in financial services regulation will thrive. With a strong commitment to professional development and a flexible hybrid working model, you'll engage with high-profile clients on complex regulatory matters while enjoying genuine progression opportunities and a supportive culture that values your contributions.
StudySmarter Expert Advice🤫
We think this is how you could land Principal / Legal Director - Financial Services Regulatory in West Bromwich
✨Network Like a Pro
Get out there and connect with people in the financial services regulatory space. Attend industry events, join relevant online forums, and don’t be shy about reaching out to potential colleagues on LinkedIn. We all know that sometimes it’s not just what you know, but who you know!
✨Show Off Your Expertise
When you get the chance to chat with potential employers, make sure to highlight your knowledge of FCA regulations and your experience with complex advisory matters. We want to see you shine as a trusted advisor, so share specific examples of how you've tackled challenges in the past.
✨Be Ready for the Interview
Prepare for those tricky interview questions by brushing up on your understanding of MiFID II, UCITS, and other key regulations. We recommend practising your responses with a friend or mentor to ensure you come across as confident and knowledgeable when it counts.
✨Apply Through Our Website
Don’t forget to apply through our website! It’s the best way to ensure your application gets the attention it deserves. Plus, we love seeing candidates who are proactive and engaged in the process. Let’s get you one step closer to that Principal Associate role!
We think you need these skills to ace Principal / Legal Director - Financial Services Regulatory in West Bromwich
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the specific skills and experiences that match the job description. Highlight your expertise in FCA regulation and any relevant financial services experience to catch our eye!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role, focusing on your advisory experience and client management skills. Show us your passion for the regulatory landscape!
Showcase Your Leadership Skills:Since this role involves mentoring junior lawyers, don’t forget to mention any leadership or supervisory experience you have. We love candidates who can inspire and guide others while driving business development.
Apply Through Our Website:We encourage you to apply directly through our website for a smoother application process. It’s the best way for us to receive your application and get to know you better!
How to prepare for a job interview at Yolk Recruitment Ltd
✨Know Your Regulatory Stuff
Make sure you brush up on FCA regulations and the wider UK regulatory framework. Be ready to discuss specific regulations like MiFID II, UCITS, and AIFMD, as well as how they impact asset management and investments.
✨Showcase Your Advisory Skills
Prepare examples of complex advisory matters you've handled autonomously. Highlight your experience in client management and stakeholder engagement, as this role requires a strong ability to build relationships and provide trusted advice.
✨Demonstrate Leadership Experience
Since this position involves mentoring junior lawyers, be ready to talk about your leadership style and any previous experiences supervising teams. Share how you've contributed to team growth and development in past roles.
✨Emphasise Your Commercial Mindset
This role is all about providing commercially focused solutions. Think of examples where you've successfully combined legal expertise with business development, and be prepared to discuss how you can contribute to the firm's growth.
