Legal Associate

United Kingdom / South East England / London (Greater)
11 Jun 2014
25 Jun 2014
Contract Type

Benefits upon successful completion of probationary period:

Participation in profit share scheme, contributory pension, income protection, life assurance, private medical/dental, 25 days holiday p.a.

The Role:

We are looking for a significant PQE financial regulation lawyer with a strong proven background and commercial aptitude, from a city law firm to join an entrepreneurial investment business. The successful candidate will provide transactional as well as compliance support and will ideally have funds/PE experience.

Scope of Responsibilities:

  • Perform on-going compliance monitoring, ensuring the firm meets all FCA requirements
  • Reviewing and providing regulatory input on marketing documents, information memoranda, and any subscription documents
  • Review and approval of financial promotions
  • To assist and participate in the development of financial products
  • To provide regulatory advice to the various businesses and teams within the group, and support during negotiations with counterparties
  • Providing regulatory input as necessary in legal and general corporate issues
  • Developing and maintaining internal policies and procedures
  • Provide advice and firm policy on the application of UK Anti Money Laundering and Anti-Bribery and Corruption rules and regulations
  • Maintenance of the regulatory reporting requirements in relation to prudential obligations
  • Assist the training of staff in regulatory obligations on an agreed basis
  • Ensure all compliance policies and manuals are updated in line with regulatory changes
  • Any other ad-hoc duties as reasonably requested


  • UK qualified Solicitor with previous experience gained either from a regulatory team at a leading law firm, or an in-house role
  • Motivated to work directly within a business in an advisory and implementation capacity
  • Have significant expertise in financial services regulation and a good knowledge of market practices