The Legal and Regulatory Assistant is responsible for: (i) assisting the Senior Legal

Advisor with any tasks that may be required and working on the day-to-day

transactional tasks; (ii) undertaking administrative and ad hoc tasks; (iii) managing

specifically assigned projects; (iv) managing the company secretarial function; (v)

research and training.

Job Requirements

Key Responsibilities & Accountabilities:

 Assisting the Senior Legal Counsel with the day to day tasks as required;

 Assisting with the provision of legal advice by undertaking legal research;

 Drafting, amending and negotiating various legal agreements, including

drafting agreement templates in order to build up the legal library;

 Drafting legal notices and letters for ad hoc matters;

 Negotiating and amending the terms and conditions on a case-by-case basis;

 Undertaking company secretarial duties such as filing relevant changes in

Companies House and liaising with the Corporate Company Secretary for the

respective entity;

 Negotiating the confidentiality agreements which entities enter into;

 Building up the legal folder;

 Uploading and keeping up to date company information on SWIFT KYC


 Taking ownership of the Group ownership structure charts and liaising

with Group executives on a monthly basis;

 Assisting with ad hoc GDPR-related matters;

 Liaising with external suppliers such as legal database providers and law firms

regarding invoices and other administrative aspects of the relevant

engagement; and

 Administrative tasks such as preparing and facilitating execution documents.

Professional / Managerial Autonomy

Key Relationships


 Senior Managers (SMF's), Business Heads

 Compliance

 Risk

 Front Office Traders

 Projects team (members of previous legal team)


 External Legal Advisors

 Corporate Secretary

Group Business Heads

Regulatory Responsibilities

Financial Crime and Market Conduct:

All employees are required to ensure that they promote a culture of compliance with

all applicable law, regulation, internal procedures and codes of conduct to minimize

the risk of misconduct and that the Company may be used to further the financial

crime including any money laundering, terrorist financing, bribery, corruption, fraud or

breaches of UK and International sanctions regimes.

This includes ensuring that individuals or members of their teams (where the

employee has management responsibility) complete all mandatory training such that

they are able to identify red flags and are aware of their responsibility to report any

suspicious activity to the MLRO or nominated delegate.

All employees must maintain fit and proper status and disclose any circumstances

which may lead to any breach of conduct rules and assist with any investigations or

disciplinary proceedings. They should be aware of and comply with the Company's

Code of Conduct and report any failures to comply to Compliance/HR as appropriate.

Leadership / People Management Responsibilities

Job Specifications

Business Knowledge / Technical Skills:

 Previous experience of working within in a financial services firm;

 Proven track record of operating at an Analyst level within a commercial


 Strong knowledge of relevant laws and regulations etc.;

 Strong knowledge of the regulatory environment in which an FX firm operates;

 Knowledge of FX and derivatives;

 Experience of navigating legal library databases; and

 Competency in drafting legal documents.

Leadership / Management Skills:

Systems / Knowledge Skills:

 MS Office; Outlook, Word, Excel, PowerPoint;

 Legal library databases - LexisNexis, Practical Law.

Personal Attributes:

 Strong interpersonal, client relationship, influencing and communication skills

 Good organisational skills, able to multi-task

 Self-Motivated & Results focused

 Commercially focused, operationally strong and strategically responsive

 Must display exceptional attention to detail


 Results Orientation

 Problem Solving, Analytical & Critical Thinking

 Educated to Degree-level or able to demonstrate equivalent relevant

experience - LLB/LLM or LPC or equivalent would be an advantage

 High standard of oral & written English is mandatory.

 Fluency in other European languages (e.g. Spanish, Dutch, French,

Luxembourgish etc.) is desirable.