The Legal and Compliance team provides internal legal and compliance advice for the firm in relation to contractual, risk and compliance issues. As part of the team you will be required to provide technical, legal regulatory expertise and support to all aspects of Liberum’s business.
Start date: end August 2021/early September 2021
You will work with members of the Legal and Compliance Team advising on a variety of matters such as anti-money laundering; conflicts; confidentiality; insider lists; and dealing rules as well as ensuring the effective deployment of policies and procedures which allow the business to comply as necessary with all relevant UK legislation and regulation and additionally providing general legal support to other members of the team.
- Identifying, managing and mitigating legal and regulatory risk matters across the business
- Responding to general legal and regulatory queries from the business and providing advice on such matters
- Drafting policies and processes required to comply with regulation and supporting the Compliance team and (where applicable) business divisions with implementing and monitoring such policies and processes
- Providing legal and regulatory advice on projects (including development of new products and services), including involvement in project meetings, providing analyses, advising on risk, and drafting and approving documentation
- Assisting in the escalation of relevant MI and other key information to the Risk & Regulatory Committee and/or the Board
- Drafting/updating client facing contractual documentation arising from regulatory change
- Liaising with colleagues and regulatory bodies to ensure that the relationships are maintained appropriately and that queries are responded to on a timely basis
- Acting as a subject -matter expert in relation to legal and regulatory developments, and attend seminars and training, as appropriate
- Legal & Compliance Team
- Company Secretarial Team
- CEO Office
- Risk & Regulatory Committee
- Professional advisers
- English qualified lawyer or equivalent
- Minimum 5 years PQE
- Financial regulatory background with the ability to apply this knowledge in a commercial environment
- Understanding of the general activities and functions of a broker-dealer
Skills and Attributes:
- Excellent attention to detail
- A practical approach and the ability to make clear and concise decisions in a timely manner
- Strong analytical skills and ability to present information in various formats appropriate to different audiences in a robust and controlled manner
- Flexible team player, with a focus on building team performance and contributing positively to building relationships within the Legal and Compliance department
- Delivery focused, working to high standards of performance with ability to prioritise and work under pressure, delivering to tight deadlines and multiple demands
- Ability to manage processes and projects autonomously, with limited supervision
- Keen to learn and broaden skills and experience
Liberum Capital Limited is a UK based independent investment bank with an “all cap” focus. Liberum is based in London and also has a wholly owned US subsidiary which provides access to the European markets for institutional investors based in North America. The principal activity of the Group is the provision of institutional and corporate stock broking services, focused on cash equities and investment banking.
The core activities are:
- Research, Sales and Execution - in large and mid-cap European equities, small cap UK equities and closed end investment funds listed on the London Stock Exchange or Euronext or traded on AIM. It also provides sales, trading and execution services in convertible bonds.
- Market Making – in small and mid-cap UK equities and closed end investment funds.
- Investment Banking – provides corporate finance, corporate broking and advisory services to public and private companies and closed end investment funds.
Liberum started trading in 2007 and has had 13 consecutive profitable years. We believe clients are looking for a more tailored service and we aim to be proactive and innovative in our approach and deal with clients responsibly and fairly.
As a business Liberum endeavours to hire and retain people of the highest calibre. The culture is one of a shared and collective responsibility and to this end the company is 100% employee owned.