Regulatory Senior Associate (6-8 years PQE)

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Regulatory Senior Associate (6-8 years PQE)


9.30 am to 5.30 pm, and as required

Working week:

Monday - Friday



Purpose of job:

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

Duties to include:

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


  • 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.

To apply for this role, please complete the online application form.
For further information about this position please contact, in confidence, Natalie Slater (Recruitment Manager) at

No agencies please

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