- Whether FCA authorisation is required;
- Structuring advice, including in relation to advice on collective investment schemes, joint venture arrangements and alternative investment funds;
- The ongoing regulatory obligations for FCA authorised firms, including regulated investment managers, advisers and introducers/arrangers;
- The marketing of financial products and fundraising;
- Appointed representative arrangements;
- Change of control applications in the context of M&A and re-structuring transactions;
- The Payment Services Regulations and Electronic Money Regulations;
- Scope and application of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017;
- Application of the UK regulatory regime to crypto-businesses, including advising in relation to security tokens and the issue of NFTs; and
- The interpretation of the FCA Rules and Guidance.
- The ideal candidate will be an Associate with 2+ years PQE gained at a recognised law firm, within the financial services regulatory space. We would also consider candidates from in-house roles and those returning to the workforce from a period of leave.
- Excellent written and interpersonal skills.
- Ability to effectively manage own workload, undertaking a truly client facing role.
- The ability to communicate effectively with people at all levels, both internally and with clients.
- The ability to work independently and as part of a team.
- Ability to run matters with minimal supervision.
- Resilient and calm under pressure.
- Adaptable and flexible approach.
- Pro-active and takes initiative.
- Excellent attention to detail and organisational skills
- Interest in undertaking business development activities both internally and externally.
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Associate - Corporate, FSR (2+ PQE) - London, United Kingdom - Mishcon de Reya
Description
Our Financial Services Regulatory team sit within our Corporate Department and forms part of a firm wide, cross-departmental Regulatory Group. Our experience is broad, helping both regulated and unregulated entities and individuals understand and comply with the rules and obligations imposed on them under UK financial services legislation, the FCA and the PRA.
Our clients include entrepreneurs and deal makers, investment firms, and alternative finance providers, as well as businesses operating in the crypto and digital asset space.
Duties and Responsibilities
The role will involve providing advice across a broad range of regulatory matters such as:
Skills/Experience
This role can be full-time or part-time, we are happy to talk flexible working.