Regulatory Associate (3 -5 PQE)

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Regulatory Associate (3 -5 PQE)


9.30 am to 5.30 pm, and as required, flexible applications considered

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 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.  

Specific duties:                         

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


  • 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.

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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