Lawyer Retail Investment Services

Lawyer - Retail Investment Services

Division: Legal
Department: Investments Insurance & Redress department (IIR)

• Salary: National (Edinburgh and Leeds) ranging from 60900 to 81030 and London from 66900 to 88944 (salary offered will be based on skills and experience - While offers are usually made within the range appointments at the upper end are reserved for exceptional candidates)

• This role is graded as: Senior Associate - Practising legal

• Your recruitment contact is Raimonda Stankute via . Applications must be submitted through our online portal. Applications sent via social media or email will not be accepted.

About the FCA and team

We regulate financial services firms in the UK to keep financial markets fair thriving and effective. By joining us youll play a key part in protecting consumers driving economic growth and shaping the future of UK finance services.

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 FCAs 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

Skills required

Minimum:

• Applicants must be a qualified lawyer (solicitor barrister or Chartered Legal Executive or overseas equivalents): generally a person who is at least 3 years PQE (in house public sector or private practice).

• Previous experience and understanding of public law and financial services law particularly regarding the application and interpretation of the Financial Services and Markets Act 2000 (FSMA) and secondary legislation FCA rules policy making and the powers the FCA has to supervise and regulate firms

Essential:

• Strong analytical skills and the ability to deliver good and clear analysis of issues

• Ability to learn about new or novel legal issues quickly and with enthusiasm with the necessary oversight and support of colleagues

• Ability to create solutions and deliver pragmatic outcome-focused advice

• Ability to advise in a confident and reasoned manner and to challenge appropriately

• Ability to build and sustain positive relationships and good communication skills

• Knowledge of retail investments law is a strong advantage

Benefits

• 25 days annual leave plus bank holidays

• Hybrid model where employees work a minimum of 40% in the office each month (expectation of 50% for senior leaders). Changing from September to a minimum of 50% in the office each month (expectation of 60% for Directors and Executive Directors)

• Non-contributory pension (812% depending on age) and life assurance at eight times your salary

• Private healthcare with Bupa income protection and 24/7 Employee Assistance

• 35 hours of paid volunteering annually

• A flexible benefits scheme designed around your lifestyle

For a full list of our benefits and our recruitment process as a whole visit our benefits page.

Our values and culture

Our colleagues are the key to our success as a regulator. We are committed to fostering a diverse and inclusive culture: one thats free from discrimination and bias celebrates difference and supports colleagues to deliver at their best. We believe that our differences and similarities enable us to be a better organisation one that makes better decisions drives innovation and delivers better regulation.
If you require any adjustments due to a disability or condition your recruiter is here to help - reach out for tailored support.

We welcome diverse working styles and aim to find flexible solutions that suit both the role and individual needs including options like part-time and job sharing where applicable.

Disability confident: our hiring approach
Were proud to be a Disability Confident Employer and therefore people or individuals with disabilities and long-term conditions who best meet the minimum criteria for a role will go through to the next stage of the recruitment cases of high application volumes we may progress applicants whose experience most closely matches the roles key requirements.

Useful information and timelines

Timeline:

• Job advert closes: midnight on 2 March 2026

• CV Review/Shortlist: 4 March 2026

• Interview including a case study: w/c 16 March 2026

• Your Recruiter will discuss the process in detail with you during screening for the role therefore please make them aware if you are going to be unavailable for any date during this time.