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Associate, Finance Regulatory

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Ashurst

1mo ago

  • Job
    Full-time
    Junior & Mid Level
  • Legal
  • London

AI generated summary

  • You should have experience in fund/asset management regulation, advisory skills, confident client interaction, strong written communication, and a keen interest in finance and regulatory matters.
  • You will advise clients on regulatory compliance, manage strategic projects, produce high-quality advice, engage in diverse regulatory issues, and present findings to clients and internal teams.

Requirements

  • Ideally applicants will have experience in most or many of the following areas:
  • Experience in buy-side fund and asset management regulation, including AIFMD, ESG regulations, MiFID, and IFPR; and/or
  • Familiarity with bank and investment firm regulation, including CRR/CRD and MiFID; and/or
  • Payments, crypto and broad FinTech experience with a deep grounding in the underlying regulations and associated legal frameworks.
  • Advisory Experience:
  • Advised on the regulatory aspects of fund structuring and marketing.
  • Reviewed private fund documents and marketing materials.
  • Completed change in control applications, NPPR marketing notifications, and cross-border fund surveys.
  • Advised on bank/investment firm licensing applications and key regulatory aspects such as consumer duty, conflicts of interest, inducements, market abuse, disclosures, product governance, and financial crime.
  • Client Interaction:
  • Confident in client interactions, running matters, and presenting to both internal teams and clients.
  • Strong written advice with a focus on presenting answers to clients, not just thinking.
  • Meticulous attention to detail.
  • Broader Interests:
  • A genuine interest in finance, financial markets and the global world in which they operate.
  • A desire to develop experience and drive career progression in a wider range of regulatory matters, including financial market infrastructure providers, exchanges, sell-side firms, commercial banks, crypto and digital assets, retail brokers, fintech, and digitalisation.
  • Excited at the prospect of working on leading, transformational projects; shaping regulatory change and thinking outside the box to deliver real change for clients.

Responsibilities

  • Advising clients on day to day compliance with regulatory requirements, perimeter issues, financial promotions, compliance failings and significant regulatory change projects.
  • Producing technically excellent advice with a client-centric focus;
  • Thinking differently about the challenges that our clients face and sharing that knowledge with others.
  • Playing a critical role on large, strategic projects, from DORA implementation to building new Digital Asset platforms with our global Digital Asset experts; from new sustainable fund launches to new bank licences and much more in-between.
  • Confidently interacting with clients, running matters independently, and presenting findings and advice to both internal teams and clients.
  • Engaging in a broader range of regulatory issues, including those related to banks, investment firms, financial market infrastructure providers, exchanges, sell-side firms, commercial banks, crypto and digital assets, retail brokers, fintech firms, and digitalisation/innovation projects.

FAQs

What qualifications are required for the Associate, Finance Regulatory position?

The position requires an ambitious 1-3 year qualified lawyer with a strong understanding of UK and EU financial services regulation.

What kind of experience is preferred for candidates applying for this role?

Ideally, candidates should have experience in regulatory expertise related to buy-side fund and asset management regulation, bank and investment firm regulation, payments, crypto, and FinTech.

What key responsibilities will the Associate have?

The Associate will be involved in advising clients on compliance with regulatory requirements, participating in large strategic projects, managing client interactions, and engaging in a broader range of regulatory matters.

Is prior client management experience necessary?

Yes, candidates should be confident in client interactions and able to run matters independently while presenting findings and advice.

How does Ashurst promote career advancement for this position?

Ashurst has an established Associate Career Path Framework that outlines expectations and opportunities for promotion.

What kind of projects will the Associate work on?

The Associate will work on transformational projects such as DORA implementation, new digital asset platforms, and sustainable fund launches.

What attributes do successful candidates possess?

Successful candidates typically have strong written advice skills, meticulous attention to detail, a genuine interest in finance and financial markets, and a desire to drive career progression across a range of regulatory matters.

Are diversity and inclusion valued at Ashurst?

Yes, Ashurst regards an inclusive and diverse environment as critical to business success and encourages applications from candidates representing all talent pools.

Is there an opportunity for training and development in this role?

Yes, the firm places a strong emphasis on providing training and development opportunities to help build regulatory expertise and industry knowledge.

Will background checks be conducted for successful applicants?

Yes, Ashurst will undertake appropriate vetting of staff, including professional verification and background checks, in compliance with regulatory and client requirements.

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Ashurst

In a changing world, our vision is to be the most progressive global law firm.

Law
Industry
1001-5000
Employees

Mission & Purpose

Ashurst is a leading global law firm and for 200 years we have been advising local and global corporates, financial institutions and governments on their most complex transactions, disputes and projects. With 31 offices in 18 countries and a best-friend referral relationship with an Indian law firm, we offer the international insight of a global network combined with local market knowledge. Client focused service: our clients can access deep local knowledge and on-the-ground support wherever they do business, from people they know and trust. We build teams that are specific to our clients'​ needs, combining specialist legal skills, industry experience and regional know-how. We have a track record of successfully managing large and complex multi-jurisdictional transactions and projects. Our focus is on getting to the heart of clients'​ legal needs and delivering practical, commercial solutions. You can find our legal notices at ashurst.com/legal-notices.