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About the Role
The FCA regulates financial services firms in the UK to ensure fair, thriving, and effective financial markets. This role involves protecting consumers, driving economic growth, and shaping the future of UK financial services by advising on the conduct regulation of retail investment services.
Responsibilities
- Advise on the application and effect of regulatory requirements and powers to ensure firms comply with all applicable rules, legislation, and law.
- Devise and implement creative and pragmatic solutions.
- Be fully involved in the FCA’s supervisory and policy work, including policy development and drafting rules and guidance in the FCA Handbook.
- Have a high level of ownership and responsibility for your actions.
- Supervise less experienced members of the team.
Requirements
- Qualified lawyer (solicitor, barrister or Chartered Legal Executive or overseas equivalents).
- Generally, a person who is at least 3 years PQE (in house, public sector or private practice).
- Previous experience and understanding of public law and financial services law.
- Particular understanding of the application and interpretation of the Financial Services and Markets Act 2000 (FSMA) and secondary legislation, FCA rules, policy making and the powers the FCA has to supervise and regulate firms.
Skills
- Well-developed analytical skills and the ability to deliver good and clear analysis of issues.
- Ability to learn about new or novel legal issues quickly and with enthusiasm, with the necessary oversight and support of colleagues.
- Ability to create solutions and deliver pragmatic outcome-focused advice.
- Ability to advise in a confident and reasoned manner and to challenge appropriately.
- Ability to build and sustain positive relationships and good communication skills.
- Knowledge of retail investments law is a strong advantage.
Location
- National (Edinburgh and Leeds)
- London
Work Type
- Hybrid
Experience Level
- Senior Associate, Practising Legal
- 3 years PQE
Education Level
- Qualified lawyer (solicitor, barrister or Chartered Legal Executive or overseas equivalents)
Salary/Compensations
- National (Edinburgh and Leeds) ranging from £60,900 to £81,030
- London from £66,900 to £88,944
Benefits
- 25 days annual leave plus bank holidays
- Non-contributory pension (8–12% depending on age) and life assurance at eight times your salary
- Private healthcare with Bupa, income protection and 24/7 Employee Assistance
- 35 hours of paid volunteering annually
- A flexible benefits scheme designed around your lifestyle
About the Company
- We regulate financial services firms in the UK, to keep financial markets fair, thriving and effective.
- By joining us, you’ll play a key key part in protecting consumers, driving economic growth and shaping the future of UK finance services.
- The Investments team (part of the Investments, Insurance & Redress department in the Legal Division) advises on all aspects of the conduct regulation of retail investment services.
- Particular projects/areas of focus include: The Consumer Duty as it relates to retail investment services as well as cross-cutting issues, The Advice Guidance Boundary Review, Financial promotions related to retail investment services as well as cross-cutting issues, The activities of appointed representatives related to retail investment services as well as cross-cutting issues, Self-invested personal pensions and funeral plans.
- Our colleagues are the key to our success as a regulator.
- We are committed to fostering a diverse and inclusive culture: one that’s free from discrimination and bias, celebrates difference and supports colleagues to deliver at their best.
- We believe that our differences and similarities enable us to be a better organisation – one that makes better decisions, drives innovation and delivers better regulation.
Equal Opportunity
- We welcome diverse working styles and aim to find flexible solutions that suit both the role and individual needs, including options like part-time and job sharing where applicable.
- We’re proud to be a Disability Confident Employer and therefore, people or individuals with disabilities and long-term conditions who best meet the minimum criteria for a role will go through to the next stage of the recruitment process.
- In cases of high application volumes we may progress applicants whose experience most closely matches the role’s key requirements.