Head of Regulatory

About the Head of Regulatory role:-

This is a great opportunity for a senior regulatory lawyer to join a boutique financial services company based in the West end. The role will report directly to the CEO and you will have responsibility for the asset management arm of the business as well as the broader regulatory issues relating to the business.

Key Responsibilities:

• Advising the business on regulatory and compliance issues relating to the business as a whole, with specific focus on the asset management arm of the business;
• Reporting directly to the CEO on all compliance and regulatory issues relating to the business;
• Working with the GC on regulatory legal work such as product launches within the asset management arm of the company;
• Keeping up to date on all regulatory and compliance changes relevant to the business as well as having the Head of Regulatory for the capital markets arm reporting to you;
• Comfortable being the CF10 and CF11 for the asset management arm of the business.

Your Key Skills:

You will be a senior lawyer who is comfortable taking a role that is reporting directly to the CEO and taking responsibility for the regulatory and compliance function of the business. You will have either an asset management background or financial services regulation background as a lawyer either from private practice or in-house. Ideally you would have experience with being CF10 & CF11 but this is not essential.

About the company:

This is a boutique financial service company based in the West End which has been established for a number of decades. They work across asset management, capital markets and principal finance with institutional clients.

If you have the requisite skills for the Head of Regulatory position in London, please click to apply.