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5 months ago
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Financial Services Regulatory Associate


Stephenson Harwood LLP
Location: London
Job type: Permanent
Category: Associate Jobs
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Job title Department Financial Services Regulatory Associate Corporate
(non-contentious) Reporting to Location Financial Services Regulatory Partner Finsbury Circus, London EC2M 7SH

(non-contentious) About the firm Our values Individuality We encourage creativity and
develop talent. Commitment To be the best and deliver the
highest standard. Stephenson Harwood is a law firm Teamwork (headquarters in London) where our people
We work together to build

are committed to achieving the goals of our
close, long-term relationships

clients - listed and private companies,
institutions and individuals. Our diverse mix Straight talking of expertise and culture results in a
combination of deep local insight and the We say what we mean and do

capability to provide a seamless what we say.

international service.

These values express the personality of our
Our experience encompasses corporate, firm. They are the behaviours we encourage
commercial litigation and arbitration, in our people and the standards which
employment and pensions, finance, marine inform our decisions and actions.
and international trade and real estate.

We assemble teams of bright thinkers to Our vision to 202 match our clients' needs and give the right
advice from the right person at the right To be a successful, independent firm, where

time. Dedicating the highest calibre of legal talented people work together in an

talent to overcome the most complex entrepreneurial environment, building long

issues, we deliver pragmatic, expert advice term client relationships.

that is set squarely in the real world.
This vision is about who we want to be. It is

Stephenson Harwood is fully committed to as much about our values as about our

ensuring that all employees are treated character – the attributes we want to see

fairly and with dignity and respect and has from all of our people. It also reflects the

built a culture that values meritocracy, importance of remaining independent - a

openness, fairness and transparency. The clear sign that we are confident in our own

firm values individuality and recognises the future.

benefits of having a diverse workforce.


------------

The Role There is currently a vacancy within the non-contentious financial services regulatory team for
an associate (ideally 2+ pqe).

The ideal candidate will be at least a two years qualified lawyer with excellent academic
credentials and high quality non-contentious financial regulatory experience (ideally gained at a

magic or silver circle firm). The candidate should be able to demonstrate experience in relation
to a broad range of regulatory work across the financial services sector. In addition to a solid
understanding of FSMA and the FCA/PRA Handbook, experience relating to fund managers and
the AIFMD would be very helpful.

The successful candidate will sit in the Funds and Financial Services Group in the Corporate
Department but will work closely with the head of the non-contentious financial regulatory

team. The non-contentious financial regulatory team will advise clients across the firm but will
principally support the Funds group (primarily closed-ended listed funds and hedge funds), the
private equity/private equity funds team and the Corporate Department more generally and will
work closely with our market leading contentious financial regulatory team.

Described as “first-rate” by Chambers UK, our regulatory litigation team practice handled some
of the highest profile regulatory and business crime cases of recent years. The team is led by
Tony Woodcock (Band in both Chambers and The Legal 500). Tony is supported by partners
Sean Jeffrey and the “clever, committed and charming” Sara George (Band in Chambers),
whom sources call "an encyclopaedia of knowledge" and describe as "very impressive and very
personable".

The successful candidate will get the opportunity to provide regulatory advice across a wide

range of areas (e.g. AIFMD, fund marketing and financial promotion, regulatory capital
requirements, change of control, controlled functions, insurance-related transactions, MiFID II,
client money, CASS, Senior Managers Regime and Listing, Prospectus and Disclosure Rules
etc.). Attributes / skills required  High quality non-contentious financial regulatory experience  Ability and desire to work within a small, but growing, ambitious and entrepreneurial team  Background in a firm with an excellent financial regulatory reputation  Ability to acquire, consolidate and apply fundamental and up-to-date knowledge of the law  Accuracy and attention to detail  Excellent written and verbal communication skills  Organised and able to work to strict deadlines with the ability to prioritise realistically  Good housekeeping/file management practices; managing and recording time promptly and

accurately  Resilient with the ability to handle setbacks and pressure  Cooperative and collaborative in approach and able to develop excellent working relationships
at all levels and within all roles  Ability to operate professionally and proactively at all times  Self-aware and an active participant in self development  Flexible, a lateral thinker  Exhibits an understanding of the Firm’s position in the market and how it distinguishes its
services from its competitors  Excellent academic qualifications
Specific tasks and duties will include:  Clear, concise and unambiguous preparation and drafting of documentation and legal advice  Conducting legal research using internal and external knowledge management resources  Liaison with clients  Developing own informal internal and external network of contacts  Building excellent working relationships with clients and peers within SH  Attending business development and profile raising events (e.g. client seminars)

This is indicative only and does not represent an exhaustive list of responsibilities.

The firm reserves the right to alter or change the responsibilities at any time, in line with the firm's
strategy and business needs.


------------
Job title Department Financial Services Regulatory Associate Corporate
(non-contentious) Reporting to Location Financial Services Regulatory Partner Finsbury Circus, London EC2M 7SH

(non-contentious) About the firm Our values Individuality We encourage creativity and
develop talent. Commitment To be the best and deliver the
highest standard. Stephenson Harwood is a law firm Teamwork (headquarters in London) where our people
We work together to build

are committed to achieving the goals of our
close, long-term relationships

clients - listed and private companies,
institutions and individuals. Our diverse mix Straight talking of expertise and culture results in a
combination of deep local insight and the We say what we mean and do

capability to provide a seamless what we say.

international service.

These values express the personality of our
Our experience encompasses corporate, firm. They are the behaviours we encourage
commercial litigation and arbitration, in our people and the standards which
employment and pensions, finance, marine inform our decisions and actions.
and international trade and real estate.

We assemble teams of bright thinkers to Our vision to 202 match our clients' needs and give the right
advice from the right person at the right To be a successful, independent firm, where

time. Dedicating the highest calibre of legal talented people work together in an

talent to overcome the most complex entrepreneurial environment, building long

issues, we deliver pragmatic, expert advice term client relationships.

that is set squarely in the real world.
This vision is about who we want to be. It is

Stephenson Harwood is fully committed to as much about our values as about our

ensuring that all employees are treated character – the attributes we want to see

fairly and with dignity and respect and has from all of our people. It also reflects the

built a culture that values meritocracy, importance of remaining independent - a

openness, fairness and transparency. The clear sign that we are confident in our own

firm values individuality and recognises the future.

benefits of having a diverse workforce.


------------

The Role There is currently a vacancy within the non-contentious financial services regulatory team for
an associate (ideally 2+ pqe).

The ideal candidate will be at least a two years qualified lawyer with excellent academic
credentials and high quality non-contentious financial regulatory experience (ideally gained at a

magic or silver circle firm). The candidate should be able to demonstrate experience in relation
to a broad range of regulatory work across the financial services sector. In addition to a solid
understanding of FSMA and the FCA/PRA Handbook, experience relating to fund managers and
the AIFMD would be very helpful.

The successful candidate will sit in the Funds and Financial Services Group in the Corporate
Department but will work closely with the head of the non-contentious financial regulatory

team. The non-contentious financial regulatory team will advise clients across the firm but will
principally support the Funds group (primarily closed-ended listed funds and hedge funds), the
private equity/private equity funds team and the Corporate Department more generally and will
work closely with our market leading contentious financial regulatory team.

Described as “first-rate” by Chambers UK, our regulatory litigation team practice handled some
of the highest profile regulatory and business crime cases of recent years. The team is led by
Tony Woodcock (Band in both Chambers and The Legal 500). Tony is supported by partners
Sean Jeffrey and the “clever, committed and charming” Sara George (Band in Chambers),
whom sources call "an encyclopaedia of knowledge" and describe as "very impressive and very
personable".

The successful candidate will get the opportunity to provide regulatory advice across a wide

range of areas (e.g. AIFMD, fund marketing and financial promotion, regulatory capital
requirements, change of control, controlled functions, insurance-related transactions, MiFID II,
client money, CASS, Senior Managers Regime and Listing, Prospectus and Disclosure Rules
etc.). Attributes / skills required  High quality non-contentious financial regulatory experience  Ability and desire to work within a small, but growing, ambitious and entrepreneurial team  Background in a firm with an excellent financial regulatory reputation  Ability to acquire, consolidate and apply fundamental and up-to-date knowledge of the law  Accuracy and attention to detail  Excellent written and verbal communication skills  Organised and able to work to strict deadlines with the ability to prioritise realistically  Good housekeeping/file management practices; managing and recording time promptly and

accurately  Resilient with the ability to handle setbacks and pressure  Cooperative and collaborative in approach and able to develop excellent working relationships
at all levels and within all roles  Ability to operate professionally and proactively at all times  Self-aware and an active participant in self development  Flexible, a lateral thinker  Exhibits an understanding of the Firm’s position in the market and how it distinguishes its
services from its competitors  Excellent academic qualifications
Specific tasks and duties will include:  Clear, concise and unambiguous preparation and drafting of documentation and legal advice  Conducting legal research using internal and external knowledge management resources  Liaison with clients  Developing own informal internal and external network of contacts  Building excellent working relationships with clients and peers within SH  Attending business development and profile raising events (e.g. client seminars)

This is indicative only and does not represent an exhaustive list of responsibilities.

The firm reserves the right to alter or change the responsibilities at any time, in line with the firm's
strategy and business needs.


------------
Apply

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