Interim Senior Regulatory Lawyer (Retail Investments)

Immediate opportunity for an experienced Financial Services Lawyer with a background in regulatory and investments to join a high-growth fintech on an initial contract basis starting ASAP.

3-6 months with potential to extend/go permanent. Day rate, inside IR35, hybrid working (2/3 split).

Reporting to the Head of Legal you will take a lead role as a dedicated support for the roll out of new wealth management products and services, advising on complex regulatory matters and liaising extensively with regulators. This will include:

• owning the legal workstream for the investments proposition
• responding to queries from the FCA on the VoP
• negotiating agreements with strategic partners and suppliers such as fund managers, tech vendors and other intermediaries
• drafting client facing documentation, investment T&Cs, disclosures
• ensuring compliance and regulatory requirements are met
• advising the business on product governance and other regulatory matters
• preparing reports for the Board and ExCo

You will be an experienced FS Regulatory lawyer ideally with experienced gained in-house within a similar fast-paced fintech environment. Depth of technical knowledge regarding the retail-investments rulebook (COBS, PROD, CASS oversight, the ISA/SIPP/GIA wrappers) and be productive from day one is key.

For more information:

Amanda Chard

Head of Interim Legal Search

Marsden

[email protected]