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Working as part of the Wealth Legal department, this role will be a core member of the global Capital Markets Legal team, focusing on the UK, Europe and Middle East business. The role involves a wide range of work, including advising on general regulatory implementation, transactional Capital Markets work and Capital Markets business projects and initiatives. The role will provide key legal support and execution on Capital Markets matters, participating in client trading activities and business projects/initiatives.
Job Responsibility:
Provide real-time legal support in Capital Markets (with a particular focus on securities, including derivative securities/structured products) to front office business and Control partners, escalating where applicable
Negotiate and review trading and offering documentation, including Broker Agreements, Distribution Agreements and Termsheets
Review and draft product terms, offering documentation and related disclosures
Have knowledge of key regulations impacting the Business and keep up to date with regulatory developments affecting the coverage area, implementing those changes as part of regulatory change initiatives
Assist the business to manage negotiations and dialogue with investment bank issuers/underwriters
Advise on cross-border marketing, sales and distribution requirements impacting Capital Markets products
Work with other stakeholders to develop policies, procedures and controls related to the product area
Collaborate across internal lines of business and control/support functions to achieve coordinated and efficient outcomes on matters of common interest
coordinate closely with the Legal team on a regional and global basis
Prioritise workload and execute on transactions/initiatives by proactive engagement and active management of legal issues, escalating novel situations with ‘first cut’ proposed solutions and risks
Maintain momentum across multiple parallel matters, meeting tight and competing deadlines
Assist in evaluating Wealth Capital Markets proposals and queries by applying institutional knowledge and risk appetite against industry standards, widely accepted business practices, laws, rules, and regulatory guidelines, escalating as appropriate
Determine when external legal support is required and manage external counsel (including on delivery timeframe and cost)
Requirements:
Bachelor’s degree
7+ years of relevant experience
Previous experience working as a lawyer in a major international bank, a large law firm and/or a regulatory authority
Knowledge of financial services, either gained in-house or in private practice
Knowledge of Capital Markets products, particularly securities
Knowledge of exchange traded derivatives and Digital Asset/Tokenised/Crypto products would be particularly beneficial
Experience either in private practice or in-house with investment products and applicable UK/EU and US regulation would be beneficial (e.g. some of MiFID/MiFIR, CSDR, PRIIPs, MAR, CASS, AIFMD, ESG-rules, Benchmark Regulation, Consumer Duty, EMIR, Dodd-Frank and Volcker)
Experience of retail investment products would be particularly valuable
Technical ability and eagerness to develop that more deeply (including drafting skills), and analytical ability
Ability to analyse complex legal issues, assist in developing solutions and provide sound legal advice to the business
Team Work: Ability to engage with both legal and business teams on a partnership basis as well as an ability to work independently as required
Able to meet the time demands of a profitable and client and market driven business
Ability to assimilate complex issues and communicate concisely and clearly to all levels of the organisation. Calm and confident communicator
Able to identify legal risk and to escalate issues on an appropriate basis
Nice to have:
Familiarity with Digital Asset/Tokenised/Crypto products and related market initiatives will be advantageous
Knowledge of exchange traded derivatives and Digital Asset/Tokenised/Crypto products would be particularly beneficial
Experience of retail investment products would be particularly valuable
What we offer:
Generous holiday allowance starting at 27 days plus bank holidays
increasing with tenure
A discretional annual performance related bonus
Private medical insurance packages to suit your personal circumstances
Employee Assistance Program
Pension Plan
Paid Parental Leave
Special discounts for employees, family, and friends
Access to an array of learning and development resources