Regulatory – FS, 3-6 PQE

Ideally, you’ll also have or specialise in

• An excellent grasp of the regulatory landscape in the UK and EU, and a broad understanding of major international regulatory initiatives including FSMA, PDS2, EMD2, AIFMD, UCITS, MIFID II, IDD, EMIR, Financial Crime legislation (including MLRs, MAR, POCA, etc.),
• Good knowledge of the UK regulatory perimeter, including application of, and issues relating to, the RAO, FPO, CIS Order, PCIS, PSRs, and other statutory instruments or European regulations that have direct effect;
• Experience working on contentious and or conduct or financial crime-related investigations – including Section 166 Reviews, Regulatory Attestations, Principle 11 Notifications and or FCA / PRA remediation exercises etc.;
• Experience providing regulatory transaction support both M&A and corporate reorganisation (i.e., legal project management, transaction due diligence, inputting to SPAs, transitional services agreements, Part VII Transfers, FS Insolvency Processes and or assisting regulatory notifications for change in control);
• Experience of supporting firms with FCA/PRA licensing processes including authorisations, variation of permission, notifications under AIFMD/UCITS, deauthorisation process, etc.;
• Experience working on large-scale, regulatory compliance and transformation programmes;
• FS sector experience, specifically banking, wealth & asset management and/or insurance sectors.

If you would like to be considered please send a copy of your CV to charlottepember@taylorroot.com

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

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