What Does a Financial Services Regulatory Associate Do?
In the Private Practice world, a Financial Services Regulatory Associate will be a legal professional with between 0 to 4 years of experience whose main focus will be to support its clients with their complex regulatory matters.
The Financial Services Regulatory Associate will usually be involved in numerous compliance projects, from regulatory change to commercial finance transactions.
The Financial Services Regulatory Associate Job Description
Whilst a Financial Services Regulatory Associate job description will highly depend on the private practice law firm looking to hire such a professional, there are some core responsibilities which will apply to this role - no matter which firm one may be working at.
A Financial Services Regulatory Associate will usually interact with a vast range of clients within the financial services space, with the main purpose to provide them with sound advisory services - with a focus on financial services law and regulation.
The Core Duties
The main responsibilities for this position will typically include, but are not limited to:
Advisory and commercial projects regulatory work for a wide range of financial services clients, both in the wholesale and retail spaces (banks, financial institutions, asset managers, investment management firms, etc.)
Support the firm's clients in navigating and solving their regulatory matters
Take part in different types of compliance projects, such as regulatory change, BAU compliance matters, new product structuring, commercial finance transactions, etc.
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