I'm excited to be partnered with an innovative player in the Capital Markets space as they look to hire a Compliance & Legal Associate to join the business on an initial 6 month Fixed Term Contract to support day to day operations through an exciting period of growth.
Key responsibilities of the Compliance & Legal Associate;
Legal Support
* Assist with initial review and negotiation of legal agreements critical to capital market transactions, including introducer agreements, non-disclosure agreements, and service provider documentation related to IPOs
* Support with documentation for EU expansion, bespoke regulatory engagements (e.g., PISCES initiative), and external counsel coordination
Regulatory & Compliance Support
* Support the drafting and ongoing maintenance of internal policies and risk assessments related to Financial Crime (AML/Sanctions), Market Abuse Regulation (MAR), and Conflicts of Interest, tailored to both public and private market activities
* Act as a key reviewer and advisor on all deal-specific and corporate financial promotions (e.g., press releases, website updates, investor communications) to ensure strict compliance with FCA COBS rules and Prospectus Regulation
* Assist with preparing and submitting required regulatory returns via FCA Connect and contribute to the refinement of the compliance monitoring program across all transaction types.
Ideal experience and competencies required of the Senior Manager;
* 3–5 years’ experience in a legal, paralegal, or compliance role, ideally within a smaller Financial Services institution where demonstrable ability to thrive in an agile team and fast paced role
* Solid working knowledge of Capital Markets and Corporate Finance activity, particularly in relation to the legal and compliance nuances of Public Equity, Public Debt, and Private Market offerings
* Understanding of the FCA's Financial Promotions regime (COBS 4)
* Exceptional written and verbal communication skills are required to clearly articulate complex legal and compliance advice to both internal deal teams and external counsel/brokers.
* Understanding of the broader FCA Handbook, including SYSC, MAR, and MiFID II requirements
Due to the nature of this employment we will only be able to consider candidates available on one month or less notice, but there is a strong intent to keep the individual on permanently following the initial 6 month period.
For further information, please get in touch with shane.cassidy@coopman.uk.
As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.