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.
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
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
Administrative tasks such as preparing and facilitating execution documents.
Professional / Managerial Autonomy
Senior Managers (SMF's), Business Heads
Front Office Traders
Projects team (members of previous legal team)
External Legal Advisors
Group Business Heads
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
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.
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
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.