Lawyer- Retail Investment Services
Core
Advise on the application and effect of regulatory requirements and powers to ensure firms comply with all applicable rules, legislation and law within the retail investment services sector.
Role type
Senior Associate, Practising Legal (Regulatory Lawyer)
Builds
Policy and guidance in the FCA Handbook, supervisory outcomes
Domain
UK Financial Services Regulation / Retail Investment Services
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Financial Services and Markets Act 2000 (FSMA) interpretation, FCA rules application, public law, retail investments law, policy development, supervisory work
Preferred skills
Knowledge of consumer duty, advice guidance boundary review, financial promotions, appointed representatives, self-invested personal pensions, funeral plans
Technologies
N/A
Responsibilities
Advise on regulatory compliance, devise and implement creative and pragmatic solutions, develop policy and draft rules and guidance, supervise less experienced members of the team
Seniority
Senior, hands-on IC with mentorship duties
