Lawyer- Retail Investment Services

Requirements of the role

The Investments team (part of the Investments, Insurance & Redress department in the Legal Division) advises on all aspects of the conduct regulation of retail investment services. Particular projects/areas of focus include:

• The Consumer Duty as it relates to retail investment services as well as cross-cutting issues
• The Advice Guidance Boundary Review
• Financial promotions related to retail investment services as well as cross-cutting issues
• The activities of appointed representatives related to retail investment services as well as cross-cutting issues
• Self-invested personal pensions and funeral plans

Role responsibilities

• Advise on the application and effect of regulatory requirements and powers to ensure firms comply with all applicable rules, legislation and law
• Devise and implement creative and pragmatic solutions
• Be fully involved in the FCA’s supervisory and policy work, including the development of policy and drafting rules and guidance in the FCA Handbook
• Have a high level of ownership and responsibility for your actions
• Supervise less experienced members of the team

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