Financial Regulatory Legal Expert (UK)
Specialist in UK Financial Regulation
Position Overview
We are seeking to recruit an experienced solicitor with Financial Regulatory expertise to join our Legal team based in our London office, who has knowledge of United Kingdom (UK) rules and regulations that are applicable to global investment banks. Experience with and awareness of applicable European Union (EU) financial directives and regulations is ideal.
The successful candidate will support the Private Capital Advisory (“PCA”) business based in London and Germany, providing expert legal advice on UK financial regulation and working in close collaboration with the Compliance function to ensure consistent interpretation and application of applicable regulatory frameworks. The role will also coordinate with EU external counsel (to the extent required) on applicable European regulatory frameworks.
The successful candidate will report to the Deputy Head of Legal (Advisory) for
Mizuho Americas.
Key Responsibilities
Be fluent in the AIFMD, MiFID II, UK FCA Handbook, and related UK and EU legislation applicable to investment managers, private funds and their private placement agents
Draft, review, and negotiate legal documents such as non-disclosure agreements (NDAs), confidentiality agreements and engagement letters across the Advisory line of business (M&A and PCA)
Advise on the interpretation and application of UK financial regulatory laws and rules (e.g. FCA, PRA, HM Treasury from a legal perspective applicable to corporate finance lines of business (e.g., M&A and Private Capital Advisory)
Provide legal analysis and guidance on the UK AIFMD regime, including marketing and distribution restrictions, cross-border private placement requirements, and interactions with the EU AIFMD framework.
Ensure that contractual arrangements and marketing activities align with financial promotion, inducement, and client categorization requirements under the UK FCA Handbook and applicable European Law. Liaise with external counsel and counterparties and, where appropriate, support Compliance in interactions with regulators, to ensure legal risks are identified, escalated and managed effectively
Monitor and interpret regulatory developments at both UK and European levels, assessing their potential legal impact on business operations in close collaboration with the Deputy Head of Legal for Advisory
Conduct legal risk assessments and provide recommendations to mitigate legal and regulatory risks, working with Compliance to address any associated regulatory control or governance implications
Provide legal support in connection with internal and external audits and investigations related to financial regulatory matters in collaboration with Compliance
Work closely with the Deputy Head of Legal for Advisory and with Compliance, FORC and business stakeholders to promote a consistent, well-controlled approach to regulatory interpretation across jurisdictions
Qualifications and Experience
5-6 years Post Qualified Experience (PQE) solicitor
Extensive experience in UK and EU financial regulatory law (e.g., FCA regulations, AIFMD, and MiFID II) ideally within a law firm, financial institution, or regulatory authority
Demonstrated experience advising on AIFMD marketing rules, private placement regimes and fund distribution restrictions.
Strong analytical skills with the ability to translate the rules and regulations into practical business solutions
Excellent written and verbal communication skills; adept at presenting legal concepts clearly to non-legal stakeholders
Ability to work proactively, independently and collaboratively in a fast-paced, dynamic environment
High level of professionalism, integrity, and attention to detail
Proficiency in legal research tools and regulatory databases covering UK and European law
Application Process
Interested candidates should submit a resume outlining their relevant experience and expertise in UK and European financial regulatory law, with particular focus on PCA and AIFMD/MIFID2 frameworks.
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Other requirements
Mizuho has in place a hybrid working program, with varying opportunities for remote work depending on the nature of the role, needs of your department, as well as local laws and regulatory obligations. Roles in some of our departments have greater in-office requirements that will be communicated to you as part of the recruitment process.
Company Overview
Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout the Americas, EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America. Through its acquisition of Greenhill, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit www.mizuhoamericas.com.
Mizuho Americas offers a competitive total rewards package.
We are an EEO/AA Employer - M/F/Disability/Veteran.
We participate in the E-Verify program.
We maintain a drug-free workplace and reserve the right to require pre- and post-hire drug testing as permitted by applicable law.
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