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Associate, Finance Regulatory

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Ashurst

28d ago

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

AI generated summary

  • You should have regulatory expertise in fund management and fintech, advisory experience, strong client interaction skills, attention to detail, and a genuine interest in finance and regulatory changes.
  • You will advise clients on regulatory compliance, lead strategic projects, produce client-focused advice, and engage with various financial entities on compliance and innovation challenges.

Requirements

  • Ideally applicants will have experience in most or many of the following areas:
  • Regulatory Expertise:
  • 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 is the job title for this position?

The job title is Associate, Finance Regulatory.

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

Ideal applicants will be 1-3 year qualified lawyers with a strong understanding of UK and EU financial services regulation.

What type of clients will the Associate work with?

The Associate will work with leading banks, investment firms, financial market infrastructure providers, payment companies, FinTech and BigTechs.

What are the primary responsibilities of the Associate in this role?

Responsibilities include advising clients on regulatory compliance, engaging in transformational projects, and managing client interactions.

What specific regulatory expertise is preferred for candidates?

Candidates should have experience in buy-side fund and asset management regulation, bank and investment firm regulation, and familiarity with payments and FinTech regulations.

Is there a focus on diversity and inclusion within the firm?

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

Will the Associate participate in transformational projects?

Yes, the Associate will be involved in transformational projects such as DORA implementation and the creation of Digital Asset platforms.

How does Ashurst approach professional development for Associates?

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

What kind of background checks will be conducted for this position?

Ashurst will undertake professional verification and background checks in compliance with regulatory and client requirements, with consent.

Is there any support for candidates with disabilities during the recruitment process?

Yes, Ashurst is committed to making the recruitment process accessible and will work with candidates to establish suitable adjustments.

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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.