Job Description
Job description
Why join us?
DWF LLP is seeking to recruit an enthusiastic Solicitor between NQ and 2 years PQE (or equivalent) to join our expanding Consumer / Retail Financial Services Regulatory (FSR) team in our London office.
The FSR team is primarily based in London but supports the national (and international) financial services practices and clients.
The team provides both contentious (non-litigation) and non-contentious advisory services to FS clients, particularly in consumer / retail markets.
Responsibilities
Main function of job:
The team has a broad consumer FS practice with particular experience in:
• Investments / Wealth Management.
• Consumer Credit / Asset Finance.
• Payment Services.
• Mortgages; and
• Insurance.
We are looking for team members with a particular interest in consumer FS where FCA regulation and the management of conduct risk are so critical to clients' business models.
We are looking for a solicitor who wants to provide excellent technical and commercial regulatory advice to firms and their senior managers in a range of consumer/retail markets.
These are mixed contentious and non-contentious regulatory roles (but not litigation). Over time, we expect individuals to specialise into their preferred areas of interest, be that along sub-sectoral or service lines.
Typical Instructions Include
• Structuring and advising on transactions (and corporate restructuring), including necessary regulatory notifications and approvals, client transfer requirements and regulatory due diligence
• Advising on the regulatory considerations arising from distribution arrangements including the payment of inducements and reviewing/drafting the relevant introducer, intermediary and client agreements
• Supervisory engagement with the FCA and advising firms on responding to VREQs, OIREQs, OIVOPs, contentious authorisations and other 'close' supervisory issues or regulatory interventions
• Dealing with FCA information requests, thematic reviews, Skilled Persons' reviews and Enforcement cases
• Advising on potential systemic liabilities, internal investigations and root cause analysis, as well as remediation exercises and FCA notifications
• Dealing with the regulatory fallout from firm failure, insolvency processes (including Special Administration) and wind down planning
• Advising on conduct risk management, both 'pre-event' and 'post
What will help you succeed in this role?
• Qualified lawyer with financial services experience and an ability to apply it in a practical, commercial and professional way on large/complex projects/cases and a varied caseload of smaller matters.
• The successful candidate will have a significant interest in and some knowledge of consumer FS (whether one or multiple sub sectors).
• Wider experience of general regulatory advice, for example, advising on business models, systemic liability, complaint handling and/or SM&CR, is desirable.
What we offer?
• Previous Financial Service experience in Training Contract or Paralegal roles is preferrable, but not essential.
• Over time, able to develop the business in terms of both existing and new clients.
• Effective team player with collaborative and supportive approach.
• Proactive in developing own expertise and skills and in sharing learning with others.
About Us
We are committed to ensuring that each member of our team feels valued and duly rewarded during their time at DWF.
We are an equal opportunities employer that celebrates diversity and we are committed to creating an inclusive environment for all. We aim to create a positive experience for all candidates and offer any adjustments or additional support needed. If you're excited about the opportunity but your experience doesn’t align perfectly with all the requirements, please apply anyway. You may be the right candidate for the role or others across the wider team.
Why join us?
DWF LLP is seeking to recruit an enthusiastic Solicitor between NQ and 2 years PQE (or equivalent) to join our expanding Consumer / Retail Financial Services Regulatory (FSR) team in our London office.
The FSR team is primarily based in London but supports the national (and international) financial services practices and clients.
The team provides both contentious (non-litigation) and non-contentious advisory services to FS clients, particularly in consumer / retail markets.
Responsibilities
Main function of job:
The team has a broad consumer FS practice with particular experience in:
• Investments / Wealth Management.
• Consumer Credit / Asset Finance.
• Payment Services.
• Mortgages; and
• Insurance.
We are looking for team members with a particular interest in consumer FS where FCA regulation and the management of conduct risk are so critical to clients' business models.
We are looking for a solicitor who wants to provide excellent technical and commercial regulatory advice to firms and their senior managers in a range of consumer/retail markets.
These are mixed contentious and non-contentious regulatory roles (but not litigation). Over time, we expect individuals to specialise into their preferred areas of interest, be that along sub-sectoral or service lines.
Typical Instructions Include
• Structuring and advising on transactions (and corporate restructuring), including necessary regulatory notifications and approvals, client transfer requirements and regulatory due diligence
• Advising on the regulatory considerations arising from distribution arrangements including the payment of inducements and reviewing/drafting the relevant introducer, intermediary and client agreements
• Supervisory engagement with the FCA and advising firms on responding to VREQs, OIREQs, OIVOPs, contentious authorisations and other 'close' supervisory issues or regulatory interventions
• Dealing with FCA information requests, thematic reviews, Skilled Persons' reviews and Enforcement cases
• Advising on potential systemic liabilities, internal investigations and root cause analysis, as well as remediation exercises and FCA notifications
• Dealing with the regulatory fallout from firm failure, insolvency processes (including Special Administration) and wind down planning
• Advising on conduct risk management, both 'pre-event' and 'post
What will help you succeed in this role?
• Qualified lawyer with financial services experience and an ability to apply it in a practical, commercial and professional way on large/complex projects/cases and a varied caseload of smaller matters.
• The successful candidate will have a significant interest in and some knowledge of consumer FS (whether one or multiple sub sectors).
• Wider experience of general regulatory advice, for example, advising on business models, systemic liability, complaint handling and/or SM&CR, is desirable.
What we offer?
• Previous Financial Service experience in Training Contract or Paralegal roles is preferrable, but not essential.
• Over time, able to develop the business in terms of both existing and new clients.
• Effective team player with collaborative and supportive approach.
• Proactive in developing own expertise and skills and in sharing learning with others.
About Us
We are committed to ensuring that each member of our team feels valued and duly rewarded during their time at DWF.
We are an equal opportunities employer that celebrates diversity and we are committed to creating an inclusive environment for all. We aim to create a positive experience for all candidates and offer any adjustments or additional support needed. If you're excited about the opportunity but your experience doesn’t align perfectly with all the requirements, please apply anyway. You may be the right candidate for the role or others across the wider team.
💡 Quick Summary
Seeking a career-building opportunity? The Solicitor position is now open for candidates interested in the Legal Jobs sector. This role in London offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Legal Jobs is a plus.
