Regulatory Senior Associate (6-8 years PQE)

Kingsley Napley is an internationally recognised law firm based in Central London. We support individuals and businesses in resolving conflict, safeguarding their futures and maximising opportunities. Our wide range of expertise means that we can provide support for our clients in all areas of their business and private life. Many of our lawyers are leaders in their field and our practice areas are highly ranked by the legal directories.

Our regulatory team is consistently and independently recognised by Chambers UK and Legal 500 as a leader in the market. Our team of specialist and highly experienced lawyers act for individuals, organisations, corporates and regulators, providing advice on regulatory compliance, investigations, adjudication, enforcement and prosecutions. We help clients respond to regulatory investigations and interventions when the continued operation or reputation of the individual or the business is at stake.

We are looking for an outstanding practitioner to join our regulatory practice area. The successful candidate will become an important part of a nationally renowned and growing team that predominantly advises regulated individuals and entities on regulatory issues and in litigation. The candidate will principally assist partners and fee earners in their work in the legal and accountancy sectors, although there may be work in the health sector and in other areas of regulated professional services. 

To work as part of a team, advising the firm’s clients, including individuals, regulators and companies on all regulatory law matters.

Legal sector advice

• Advising legal professionals on SRA investigations;
• Acting in relation to proceedings before the Solicitors Disciplinary Tribunal
• Conducting internal investigations for law firms 
• Advising law firms and individuals on reporting to the SRA
• Advising on practice structures and the regulatory framework for lawyers in England & Wales.

Accountancy, FRC and other financial advice

• Advising accountants and accountancy firms in relation to regulatory issues and disciplinary investigations and prosecutions by the ICAEW, ACCA, CIMA etc
• Advising financial professionals in relation to FCA/ PRA regulatory issues, including Approved Person status and the Senior Managers and Certification Regime
• Attending FRC interviews
• Advising the Institute and Faculty of Actuaries in relation to prosecutions under its Disciplinary Scheme and other regulatory issues

Health

• Advising doctors, pharmacists, dentists and nurses in relation to regulatory issues, registration appeals, disciplinary investigations and appeals and regulatory prosecutions
• Advising health and social care providers in relation to CQC enforcement and appeals
• Advising on Performers List registration, suspension and appeals

Professional services

• Advising surveyors, insurance professionals, loss adjusters and assessors and other regulated professionals in relation to regulatory issues and disciplinary investigations and appeals and regulatory prosecutions

Advising Regulators

• Advising regulators on their statutory schemes, rules, governance and public law issues
• Advising legal regulators on their regulatory functions, including standards, guidance and investigations.

Every effort has been made to ensure that this is a full description of the tasks and responsibilities of this role. However, it is not an exhaustive list.  The job description may be changed or developed at any time to reflect changes as required.  However, changes will not be made without full consultation with the postholder.