Senior Legal Counsel
London, UK
Exciting opportunity to join S64, a rapidly growing fintech business which provides financial solutions to enable private clients access to private markets. S64 is working with top tier private markets GPs, asset managers and private banks across a wide range of alternative asset classes. Our team have worked together for over a decade and previously pioneered the market's largest alternative investment platforms with a depth of private wealth, alternative asset, fund management and investment banking experience amongst them.
We are defining a new era in private markets access through our proprietary technology, our unrivalled delivery capabilities, and our deep industry expertise. Today, S64 is the trusted partner to the world’s leading private banks and asset managers and operates in London, Luxembourg, Madrid, Sydney, Singapore, Tokyo and Hong Kong.
Opportunity:
This role of Senior Counsel will be responsible for advising and working closely with the c-suite and executive management team in relation to all matters across the company and its business. The role will suit someone looking for a step up into a position with a broad range of responsibility and exposure across the business. You should be willing to be engaged across all the needs of the business, including fund regulation, employment issues, contract management and compliance. The candidate will be the Senior Counsel, based in London. You will be responsible for the deliverables outlined in the section below, and the holder of this role will play an important part in executing these.
Experience:
You will have worked as a legal professional with at least 5 years PQE within the financial services industry having trained at a top tier City law firm and progressed your career either in private practice within a funds team or in house within an investment management business, fintech company or a wealth management business. Knowledge and experience of corporate law and corporate governance as well as the UK and European regulatory frameworks will be important, particularly MiFID, AIFMD and their UK equivalents. You will ideally have had some experience in compliance. You will also ideally have had experience with dealing with cross border financial regulatory issues, particularly in Europe and Asia. Knowledge of corporate governance is essential. The role is incredibly broad based (advice and transactional) working across the world. You will be required to have a dynamic approach have a natural affinity to thrive in a very fast paced global organisation with ability to manage multiple priorities and deliverables.
Key Deliverables:
Corporate advice:
Strategic corporate advice and management of transactions: fund raising, global corporate structure and all matters relating to corporate governance
Maintaining all company secretarial records and completing all necessary company filings in the UK and overseeing filings in other locations.
Advice on corporate matters related to external investors in the company and liaising with external lawyers on corporate transactions in particular, funding rounds and external shareholder arrangements
Preparing necessary ancillary documents needed in connection with corporate transactions.
Attending and minuting board meetings of the UK holding company and oversight of governance structures of overseas subsidiary entities.
Advice in relation to all aspects of the Saas and tech business of the Company
Overseeing the incorporation of any group subsidiaries and branches and liaising with local external counsel and local compliance support providers
Compliance and governance matters:
Advice on employee compliance matters.
Overseeing employee training requirements.
Overseeing client and employee onboarding requirements.
Assisting with the design, implementation and enhancement of internal compliance and governance policies and processes, including attending certain committee meetings.
Reviewing the group policies and procedures as needed.
Contract management:
Management and negotiation of all commercial contracts and third party vendor contracts
Management and negotiation of Saas and technology platform agreements and standards across the company Saas offering
Maintaining standard distribution agreements and distributor pack templates.
Negotiating distribution agreements with international distributors and distributor platforms.
Reviewing all third party contracts to ensure they align with company policies.
Drafting and agreeing any NDA agreements required by the group.
Advice on and negotiation of fund transactional documents.
Advice on client engagement letters and services agreements.
Human resources issues:
Preparing UK employment contracts and liaising with external lawyers on employment contract related matters in the UK and internationally in those locations where the company has offices.
Preparing agreements with contractors to the company.
Regulatory matters:
Advising on the regulatory perimeter in the UK and obtaining advice on regulation in various European and Asian locations where the business has offices.
Reviewing and assisting with any regulatory applications in the UK, Europe and Singapore.
Overseeing the relationship with third parties who provide regulatory cover.
Advising on fund regulatory issues arising in the UK and managing any advice on other fund regulatory matters.
Obtaining advice on any financial promotion issues both in the UK and overseas, including the development of a cross border guidance manual.
Reviewing any regulatory return.
Liaising with external law firms on advice in relation to the above.
Personal Characteristics
You’re a self-starter and offer suggestions for activity that improves the product you work on.
You’ll skilfully manage the demands and expectations of stakeholders and teams across the business, presenting your work and building relationships
You realise the value of face-to-face time and appreciate the interpersonal opportunities and improvements that can make
Collaboration is key and you’ll be an active contributor to our team culture. You’ll constantly look to advance your own knowledge and take opportunities to share your learning back with the team.