Associate - Financial Services & Regulatory

Associate - Financial Services & Regulatory

Baker McKenzie

London, United Kingdom

The Role

We are looking for a mid-level Associate to join our growing London Financial Services & Regulatory Team focusing on a wide range of non-contentious, advisory, transactional and contentious matters.

Duties include but are not limited to

  • Advising clients on a wide range of matters, with a particular focus on implementation of new regulatory requirements, including emerging regulation in the FinTech space and ESG, technical aspects of trading and markets regulation, payments regulation, consumer finance, compliance investigations and regulatory enforcement. Associates work in a collegiate environment and can expect a good variety of work;
  • Associates are given regular and direct contact with clients, with a culture based on associates being given the level of responsibility they are ready for, rather than a PQE based method of work allocation;
  • Developing relationships with clients including gaining a good knowledge of the client’s businesses, economic drivers, market and sector requirements in order to ensure advice is relevant and commercial;
  • There are regular opportunities for secondments with clients. Posting to other offices under the firm's associate transfer programme is also a possibility;
  • Engaging in business development activities and being active in the promotion of the firm and seeking opportunities for new work;
  • Working as part of a team including assisting with the supervision of junior lawyers’ work, and taking an active part in sharing knowledge and experience with the team;
  • This is an excellent opportunity for an Associate to join a recognised team and work closely with leaders within Financial Services.

Examples of current and recent matters include:

  • Advising a UK headquartered FinTech group on a number of projects relating to its growth in the UK and overseas, including relating to the acquisition of new banking, payments and investment firm licences, new product rollouts, and the application of the Senior Managers & Certification Regime;
  • Advising a large, US-headquartered FinTech on a global regulatory compliance mapping project;
  • Advising an international payment services organisation on its exposure to the Wirecard collapse;
  • Advised a number of household name financial institutions, including Lloyd's of London (the insurance market), and a large global payments group, on their Brexit contingency plans;
  • Advising a large retail financial institution on an internal review into its AML systems and controls;
  • Advised a high profile retail stockbroking FinTech firm on its international expansion into the UK and EU;
  • Advising one of the UK's fastest growing FinTech companies on a number of projects relating to cryptoassets including its engagements with cryptoexchanges, and on involvement with stablecoins;
  • Advising a leading UK-headquartered life insurance and investment management group on various investigations overseas into potential misconduct and financial crime;
  • Acting for a number of retail bank executives in relation to regulatory investigations by the PRA and FCA;
  • Advising an AIM-listed company in connection with an FCA investigation into suspected insider dealing by an employee;
  • Acting for a large global technology firm on FCA engagement relating to publication of financial promotions on its platform;
  • Advising a number of platforms including e-commerce and social media platforms on the application of PSD 2 to their business models;
  • Advising one of the largest global investment management groups with rapidly growing European operations on the launch of a new retail investment advisory service in the UK;
  • Acting for a large overseas bank in relation to the restructuring of its governance and reporting structures in EMEA;
  • Advising on and negotiating industry documentation, including general terms and conditions for brokerage, banking, payments and asset management services; investment management and outsourcing agreements;
  • Drafting global ESG policy for a major multinational bank;
  • Advising the asset management arm of one the world’s largest insurers on ESG compliance (including in relation to internal policies, offering documents, portfolio composition and adherence to the Taxonomy Regulation);
  • Drafting trade association consultation responses to IOSCO consultation on sustainability-related regulatory and supervisory expectations in asset management and FCA consultation on climate-related disclosures by asset managers, life insurers, and FCA-regulated pension providers;
  • Applying for authorisation on behalf of a major climate change investment firm;
  • Advising a private equity manager with 150 billion AUM on a significant investment into one of the UK’s largest insurance firms;
  • Advising on the regulatory aspects of a merger between a major credit rating agency and benchmarks provider;
  • Advising a range of financial institutions on compliance with technical aspects of EMIR, the SFTR, the Short Selling Regulation and MiFID II;
  • Constructing technical implementation plans for compliance with upcoming settlement discipline rules under the CSDR for a number of buy-side firms.

Key Skills and Experience Required

The successful candidate will be able to demonstrate all or the majority of the following:

  • A qualified lawyer with excellent academic credentials;
  • Current experience in a Financial Services department at a leading city or international law firm;
  • First rate technical skills needed to support the client work of the department;
  • Commerciality and demonstrable business development experience;
  • Excellent written communication and drafting skills;
  • Strong service orientation - a "client first" culture;
  • Ability to develop strong relationships with clients and to take responsibility for this relationship;
  • Outstanding communication skills and the ability to adapt style as required;
  • Ability to work well in both a team and individually;
  • Respects and enjoys the diversity of cultural, social and academic backgrounds found in the Firm.

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© EuroJobsites 2021

EuroJobsites is a registered company number: 4694396 VAT number: GB 880 9055 04

Registered address: EuroJobsites Ltd, Unit 8, Kingsmill Business Park, Kingston Upon Thames, London, KT1 3GZ, United Kingdom

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