Managing Associate - Financial Regulation (Retail Wealth and Investments)

Our workload consists of all aspects of retail wealth and investments, including retail customer compliance matters, PE investment, M&A, asset sales, commercial arrangements, distribution, conduct, FCA engagement, capital requirements, remuneration and SM&CR. Our clients include leading investment platform infrastructure providers, aggregators, retail custodians, wealth managers, advisers and brokers; SIPP providers, banks and building societies, both traditional and innovative.

In this role, you will have the chance to develop your own practice and technical excellence as opportunities arise. There are real prospects for growth and career progression for the right person. Particularly if you are currently outside of London (or wish to relocate from London), this is a phenomenal opportunity to do market-leading national work supported by a strong team of subject-matter experts.

THE FINANCIAL REGULATION TEAM

Active on a number of fronts, is particularly accomplished in retail financial services. Our FR team is independently recognised as first rate and having "client focus and a pragmatic approach in complicated situations".

The wider FR team advises a wide range of businesses, including consumer finance, mortgages, retail banking, payments (including crypto), general and long-term (investment) insurance distribution, pensions, funds, capital adequacy and wholesale banking. We work closely with other teams across the firm including corporate and commercial, banking and finance, contentious regulatory and corporate crime, and financial litigation.

WHAT TO EXPECT IN THIS ROLE?

• Your first task will be to get up to speed with key client structures and propositions.


• You will quickly be involved in advising on the regulatory aspects of commercial contracts, customer terms, asset transfers, counterparty diligence and new client propositions.


• You will become a primary point of contact for certain key clients, whose work you will prioritise, although you will have the opportunity to get involved from time to time in the work of the wider team.


• You will quickly demonstrate that you can combine technical accuracy with pragmatism and an empathetic approach to our client teams.


• You will become an integrated and supportive member of the wider team, helping others and learning from their knowledge as required.
  
  Do you enjoy the intellectual rigour of FS regulation and the pace of dynamic deals? Do you deserve to do high quality, often ground-breaking work for market leading clients (and can you meet their high expectations)? Can you draft advice that makes sense to a busy executive and is genuinely useful? Are you open and supportive with your colleagues and clients? Can you hold on to your clients' vision through the detail of the regulations?, We're looking for a managing associate (or experienced associate) (4 years pqe+) to join our high performing and busy retail wealth and investments regulatory team. This is a dynamic, exciting and growing area of our regulatory practice which requires strong commercial and analytical skills and an ability to work closely with our corporate and commercial colleagues. This is a front-line role with lots of client contact. Anyone taking up this opportunity can expect to work closely with, and be a main point of contact for, clients that are key to the group and to the firm.


We are looking for someone with strong regulatory experience of retail wealth and investments, in matters ranging from customer and commercial contracts and new propositions, through to COBS, CASS and MiFID compliance and related regulator engagement.

You will be working alongside who has over 30 years' experience of financial regulation, both in-house and in private practice, and this role provides a rare opportunity to work with, and learn from, such an experienced practitioner. You will be able to work independently as well as providing oversight and support to more junior members in the team.,
• a good understanding of the regulatory framework within which retail investment businesses operate, including regulatory permissions, COBS, CASS, Consumer Duty, EBA and PRA publications on outsourcing and third-party risk, and operational resilience; and


• an understanding (and preferably experience) of corporate transactional work and of commercial contracts, and be able to draft related regulatory provisions (for example, warranties and indemnities).


• Experience of SIPP structuring and long term (investment based) insurance products would be advantageous.


• You will be able to deliver clear and concise advice, confident in its technical basis but user friendly to busy executives, with a minimum level of oversight (although you should expect your work to be reviewed and challenged).


• You will be flexible and work to our clients' deadlines, understanding that at times, external forces dictate timescales.


• You will take ownership of your matters and drive them to conclusion, and you will demonstrate good business hygiene with regard to time recording, billing and client management.


• You will positively seek out involvement in business development initiatives and be able to assist in preparing proposals and pitches., You have genuine enthusiasm for your specialism and for intellectually challenging work.


• You will enjoy learning through discussion and debate with colleagues, you are generous with your knowledge and you give and receive comments in an open, respectful and positive way.


• You take time to fully appreciate clients' needs and priorities ensuring your advice is meaningful, tailored, commercial and delivered with a solutions-orientated and enabling mindset.


• You are a team player, motivated and keen to progress to more senior roles within AG.


• You are ambitious and want to help grow the practice and take an active role in core initiatives in the firm.
  
  Addleshaw Goddard is a place where you are valued, encouraged, and challenged to fulfil your potential in a supportive and collegiate environment. Our culture of improvement, growth and collaboration delivers results, drives innovation, and rewards ambition.


We not only provide technical excellence and experience but, crucially, demonstrate real insight into our clients and what really matters to them and as such we are natural choice for FTSE100 clients and their equivalents in other markets.

Our success has been built by people from the widest range of backgrounds, locations, and perspectives. We have a number of employee networks that provide space to discuss the differences that make us who we are and celebrate this at AG.

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