To work as part of a team, advising the firm’s clients, including individuals, regulators and companies on all regulatory law matters. Examples of particular areas of work include:
Legal sector advice
- Advising law firms and legal professionals on their regulatory obligations and in respect of 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 and other financial advice
- Advising accountants and accountancy firms in relation to regulatory issues and disciplinary investigations and prosecutions by the FRC, ICAEW, ACCA, CIMA etc
- Attending FRC interviews
- Advising on proposed regulatory reform in the accountancy and audit sector and its implications
- Advising public finance leaders on regulatory and public law issues relating to their post, for example Public Interest Reports
- 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 services regulators on their regulatory functions, including standards, guidance and investigations.
General duties:
- Meeting with clients and taking new client enquiries
- Reviewing papers and identifying the appropriate strategy
- Drafting witness statements and representations
- Instructing experts and Counsel
- Liaising and negotiating with the regulator
- Drafting charges
- Preparation for and attendance at hearings
- Drafting written advice to clients
- Billing
- Business development- focus on legal services and financial services regulation
- Possible supervision of other members of the team.
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