Financial Regulation Lawyer

Financial Regulation Lawyer

Pinsent Masons
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Pinsent Masons has achieved more tier 1 rankings in The Legal 500 UK guide than any other firm, won the "Law Firm of the Year Award 2019 – Legal Business" for the second time and is recognised among the most innovative law firms in Europe by the Financial Times. Pinsent Masons was also named Law Firm of the Year 2018 by The Lawyer and is ranked No 4 on the UK Stonewall Workplace Equality Index 2020 and named as one of Stonewall’s Top Global Employers 2020.


We are seeking to recruit a non-contentious financial services lawyer into the London office or Edinburgh office of our Insurance Regulation and Products Group. The ideal candidate would be a lawyer who is at least 5 years+ PQE at another law firm or the regulator.

Our Current Financial Regulation Team

Our current team of financial services regulatory lawyers provides regulatory advice to financial institutions and other businesses including banks, investment managers, building societies, life and non-life insurance companies, trading platforms, stockbrokers, corporate financiers, intermediaries (including networks), payment services firms, small investment banks, custodians, and pension houses.

The Financial Regulatory Team which is one of the Teams IRP is headed by David Heffron with Elizabeth Budd and Andrew Barber as the other partners in the Team. Pinsent Masons has a strong sector focus with Financial Services being one of our 5 global sectors. The Financial Regulatory Team is seen as fundamental to our efforts to continue to grow and develop our sector offering and has been identified as an area for investment by the firm.

IRP was formed in November 2016 and brings together specialist practitioners in insurance, wealth and investment management, funds and banking products, as well as financial regulation. The Financial Regulation Team already worked closely with these specialist areas but the new Group will bring closer working relationships and cross selling opportunities. It is expected that the successful candidate will work closely with the asset management clients of the Funds Team. 

Our team includes experienced partners and fee earners with in-depth experience of all aspects of financial services regulation.  The team intends to continue to grow organically but as their business expands, they are seeking additional resource that would bring a fresh energy into the team. There are also opportunities to undertake secondments to some of our larger clients.

Basic requirements

The ideal candidate will be able to support our team and will have experience of advising on most of the following:

  • whether our clients are carrying on regulated activities in the UK or internationally;
  • how our clients can become authorised;
  • how our clients can communicate financial promotions;
  • dealing with regulatory change such as the continuing impact of Brexit, the implementation of the new prudential regime under MiFIDPRU, addressing sustainable finance obligations;
  • the interpretation of the FCA and PRA's rules (including Conduct of Business, Supervision and Systems, Capital requirements and Controls rules) for MiFID and non-MiFID investment businesses;
  • the acquisition or disposal of FCA/PRA regulated firms and the scope of the controllers regime;
  • drafting terms of business for financial services products and services, in particular using plain English and graphics;
  • drafting and negotiating investment management agreements
  • advising on CASS including Client Money Rules and drafting and negotiating relevant agreements in this respect.
  • supporting contentious regulatory colleagues in relation to regulatory investigations.

Additional attributes

As well as having the experience mentioned above, the candidate should be:

  • strong academically;
  • a team player who can work with different teams and lawyers across the firm;
  • able and willingness to supervise junior lawyers;
  • credible in front of clients and able to generate their own relationships;
  • keen to work in a growing international firm that is making headlines; and
  • willing to assist with and take the initiative with business development.

What will we offer you?

  • We are a market leading, dynamic and growing global team who work together to produce outstanding results for our clients.
  • We invest in our team and have a first-class training and career development programme. Our training reflects our position as a market leader in communications and sourcing. Our training will assist you to develop as a specialist with valuable sector knowledge and the ability to deliver "best in class" services.
  • Early responsibility and opportunities to develop client relationships.

Should you require further details, please contact our in-house Lateral Recruitment Advisor Karen Rawlings who can discuss the role and requirements.

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At Pinsent Masons we value diversity and inclusion. We are committed to creating a better workplace where all our talent can succeed and feel like they belong. We want to attract, retain and develop people at all levels and encourage applications from all suitably qualified candidates whatever your ethnicity, religion, age, physical or mental disability/ long term condition, sexual orientation, gender identity or expression or any other characteristics protected by local law in the jurisdictions in which we operate.



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