Financial Services Regulatory Associate / Senior Associate
Leading Silver Circle Law Firm | London
A highly regarded Silver Circle law firm is seeking a talented Associate or Senior Associate (3–6 years’ PQE) to join its market-leading Financial Services Regulatory team in London.
This is an excellent opportunity to join a growing and strategically important practice that advises many of the most sophisticated financial institutions, asset managers, private capital sponsors and fintech businesses in the market. The team is recognised for delivering commercially focused regulatory advice on complex, high-value domestic and cross-border matters.
The Team
The Financial Services Regulatory practice advises a broad range of clients including:
- Asset managers and investment firms
- Private equity and private credit fund managers
- Hedge fund managers
- Banks and financial institutions
- Sovereign wealth funds
- Fintechs and technology providers
- E-money and payment services firms
- Wealth managers and family offices
The team works closely with corporate, finance, funds, disputes, employment and tax specialists across the firm, providing regulatory support on transactions, investigations, restructurings, product launches and ongoing advisory matters.
The Role
The successful candidate will work on a broad range of contentious and non-contentious financial services regulatory matters, including:
- Advising on FCA and PRA regulatory requirements
- Regulatory aspects of M&A, banking and financing transactions
- Regulatory due diligence and transaction support
- FCA authorisations, variations of permission and change in control applications
- Governance, systems and controls frameworks
- Senior Managers & Certification Regime (SM&CR) advice
- Market conduct and trading regulation matters
- Regulatory perimeter and licensing issues
- New product launches and strategic regulatory projects
- Outsourcing and operational resilience matters
The role offers significant client exposure, responsibility and the opportunity to work directly with partners on complex and high-profile mandates.
Candidate Profile
Applicants should have between 3 and 6 years’ PQE gained within a leading private practice regulatory team and/or a recognised financial institution.
Candidates should demonstrate experience in several of the following areas:
- Strong buy-side regulatory experience, with sell-side exposure advantageous
- Detailed knowledge of MiFID II, AIFMD and MAR
- Exposure to CRR and/or EMIR would be beneficial
- Advising institutional asset managers, private equity sponsors, private credit managers and hedge funds
- Conducting and managing regulatory due diligence exercises
- Drafting due diligence reports and reviewing transaction documentation, including SPAs and banking transaction documents
- Advising on regulatory perimeter issues, authorisation requirements and client money matters
- Managing FCA applications, notifications and regulatory change projects
- Advising on governance frameworks, systems and controls, and SM&CR requirements
For a confidential discussion and further information, please get in touch.
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