Financial Services Regulatory Solicitor - RCI - NQ/2PQE
4d ago

There has never been a more exciting time to be a financial services regulatory lawyer. The introduction of, for example, MiFID II, IDD, GDPR and the SM&CR means the focus on regulation, conduct and individual accountability has never been greater and compliance has never been more important.

Brexit means that the future of all primarily EU-based regulation is more uncertain than ever. The rapid rise of technology across financial services, whether incumbents or new entrants, makes the opportunity vast and exciting.

As an innovative legal services business, DWF supports its various financial services clients (large and small) with a full range of sector-focussed consultancy services.

The financial services regulatory offering is at the heart of that strategy.

The Regulatory, Compliance and Investigations team are looking for a NQ-2 PQE lawyer to join the London team and support the national (and international) financial services practices and clients.

This role involves a mix of contentious and non-contentious work and requires someone who is able to turn their hand to a variety of issues.

The team is looking to significantly increase in size over the next 12 months, including a Compliance offering adding a further dimension to DWF's client offering.

The wider RCI team is renowned in health & safety and also recognised for its work in the food industry and other heavily regulated, consumer-facing, retail sectors, including advising on fire safety, advertising, fair trading (including pricing), product recall, consumer protection and environmental issues.

You will be working closely with our Partners who have a particular expertise in the investments (wealth and asset management) and insurance sub-sectors, and fintech (such as robo advisers).

We also provide consultancy services to clients (internal and external) on payments, consumer credit and funds regulation, and act for firms and their senior managers across the full range of financial services, dealing with investigations, systemic risk management and enforcement litigation.

We are a global legal business, transforming legal services through our people for our clients. We have over 27 key locations and over 3,100 people delivering services and solutions that go beyond expectations and in March 2019, we became the first Main Market Premium Listed legal business on the London Stock Exchange.

Main function of job :

To provide excellent and commercial regulatory advice both in the context of investigations and enforcement litigation and in terms of non-contentious, compliance advisory projects and client support.

To deliver expertise within the area of specialty, contributing actively to practice area targets and assessing risk as appropriate.

To coach and delegate as required and manage client expectations to ensure high levels of service delivery both internally and externally.

Main Duties :

  • Provide a high quality service to clients in a commercial and professional manner managing a caseload of predominantly complex and / or high value cases on both contentious and non-contentious matters, working with other partners or senior consultants and / or with assistance from more junior fee earners.
  • Maintain an understanding of the latest developments in financial services regulation and wider regulatory law and to regularly seek to update skills in addition to and outside of the CPD process, sharing learning across the team;
  • Be accountable for individual and team financial management ensuring a pro-active approach is taken to meeting individual and team targets;
  • Raise individual profile and that of DWF through coverage in the trade, legal and / or national press, via social media and DWF promotional material, assisting to maximise own revenue with existing clients through the introduction of clients to other practice areas / groups where applicable;
  • Play a proactive role in business development including writing articles and blogs, delivering presentations and facilitating seminars;
  • Support others to perform to their potential, delegating work, providing technical and strategic advice to more junior fee earners, supervising cases and giving relevant guidance to support the development and progression of others as appropriate;
  • Look outside of the Firm for new ways of working and seek continually to challenge and improve internal working practices through the professional application of skills and knowledge;
  • Develop strong internal and external working relationships based on trust and respect, ensuring there is regular communication within the practice area / group and with the external clients;
  • Understand the relevant marketplace and identify what opportunities and risks exist and how DWF can exploit or prepare for them;
  • Maintain visibility and accessibility across the team / firm and manage client relationships during delivery of high quality service.
  • The above is not an exhaustive list of duties and you will be expected to perform different tasks as necessitated by your changing role within the organisation and the overall business objectives of the organisation.

    Key skills / knowledge required :

  • Qualified lawyer with high level of financial services technical expertise and an ability to apply it in a practical, commercial and professional way achieving good results on large / complex projects / cases.
  • Ideally the successful candidate will have some knowledge of or experience in advising clients on MiFID II and / or SM&CR.
  • Ideally the successful candidate will also have experience in at least one wider area of regulatory law (e.g. environmental, financial crime, professional disciplinary, product liability).
  • Able to develop the business in terms of both existing and new clients.
  • Proven track record of working in an environment with a high level of autonomy and responsibility.
  • Effective team player with collaborative and supportive approach.
  • Experience of effectively supervising and developing Trainees and / or Paralegals.
  • Proactive in developing own expertise and skills and in sharing learning with others.
  • Why DWF?

    We want you to feel valued and rewarded by your time at DWF. We understand the importance of offering you a reward package that goes beyond simply salary.

    That’s why, when you join DWF, you’ll be given a choice. You can pick from a range of benefits, allowing you to build a package that suits your needs and lifestyle, as well as those of your family.

    In addition to our standard benefits (medical insurance, life insurance, pension and 25 days annual leave), we offer flexible benefits which include season ticket loans, holiday buy / sell scheme, gym memberships, health assessments, cycle to work, retail vouchers and dining cards.

    We are also happy to discuss flexible working patterns.

    We are actively recruiting and keen to hear from you, please apply!

    Disability Support

    We will make reasonable adjustments to help you perform at your best. Please contact the DWF Recruitment team and tell us what adjustments you need either to submit an application for a vacancy, or if you require any reasonable adjustment should you be invited to interview.

    Alternatively, please click on the following link which will take you through a simple process to identify any adjustments or additional support we can provide via the clear talents website.

    Diversity, Equality and Inclusion at DWF

    Nurturing talent is very important to us. We are committed to equal opportunities in all areas of work and business. We want people to achieve their best, which will positively impact on our clients and communities in which we live and work.

    At DWF we empower people to be themselves within an inclusive and supportive environment, enabling everyone to achieve their full potential in line with their abilities and career aspirations.

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