Director, Legal Counsel

Role overview

The Director, Legal Counsel will be supported by a newly qualified lawyer and responsible for supporting the business as follows:

• Legal, Compliance and Risk support to Corporate Finance, Debt Advisory, Financial Advisory and Forensic Services
• Provide legal support across FRP service pillars and support the CSG and management but not for example legal advice within Restructuring cases
• Oversight of FCA regulated mandates within Corporate Finance
• Support senior management in legal matters and be part of the Central Services Group

Key Responsibilities

Leadership and Strategy:

• Lead the in-house legal team , providing guidance and support as necessary.
• Act as a key advisor to senior management on compliance and legal matters.

FCA Regulatory Compliance Oversight:

• In relation to the FCA regulated entity (FRP Corporate Advisory Limited), oversee the completion and submission of FCA returns via Regdata and applications via Connect.
• Manage the approval/removal of individuals as SMF3 (Executive Director) and certified staff on the FCA register. (Corporate Finance)
• Ensure the certification of staff, including annual renewals and issuance of certificates are conducted efficiently. (not Restructuring)

Compliance and Regulatory Advice:

• Provide expert advice on the application of SM&CR rules to existing and new locations. (Corporate Finance)
• Oversee the review and classification of Corporate Finance assignments as regulated/unregulated and clients as retail/professional.
• Review engagement letters and new client forms to ensure they have been correctly completed and signed off. (Corporate Finance)
• Advise on ICAEW ethical/compliance issues and data protection matters, including Subject Access Requests and data breaches – across FRP.

Board and Meeting Support:

• Participate in and take minutes for FRP Corporate Advisory Limited board meetings, providing compliance and legal insights.
• Participate in periodic senior team meetings for Corporate Finance pillar, providing any compliance and legal input.
• Draft and present the annual SYSC compliance report and maintain the Corporate Finance compliance manual.

Training and Development:

• Develop and deliver training programs on client take-on processes and compliance requirements.
• Liaise with auditors on FCA returns and compliance issues, ensuring all queries are addressed promptly. (Corporate Finance)

Legal and Documentation Support:

• Provide high-level advice on engagement letters, NDAs, and other legal documents. (Across FRP)
• Maintain and update centralised template documents, ensuring they meet current legal, regulatory and market standards across FRP.
• Review and advise on supplier contracts, recruitment agency terms, location license agreements, and tender documentation across FRP.
• Support the service pillars on complex engagement issues across FRP.
• Advise on proposed client-requested changes to standard engagement letter templates, NDAs (FRPs and 3rd parties) and FRP standard terms and conditions, including liability caps across FRP.
• Maintain FRP insider lists and various company policies.
• Handle annual related party transaction reports and ERS HMRC returns.
• Supervise the Credit Control function and participate in the Policy Review Group and Operational Risk Committee for FRP.

Additional Responsibilities:

• Attend fortnightly Corporate Finance pipeline calls to discuss any compliance issues.
• Oversee the collation of monthly new client take-on and conflict searches and prepare comprehensive monthly reports. (Corporate Finance)
• Provide strategic support for other compliance-related matters.
• Deal with ad hoc legal issues as they arise, such as fee disputes, fee funding arrangements, and potential conflicts of interest.
• Support Forensic, Financial Advisory, and Valuation teams on engagement issues.
• Prepare and review tender and panel renewal documentation.
• Participate in the Policy Review Group and Operational Risk Committee.

Qualifications

• Qualified lawyer with at least 7 years PQE preferably within professional services.
• Strong understanding of FCA regulations and compliance requirements.
• Proven leadership and team management skills.
• Excellent organisational and communication skills.
• Ability to work independently and as part of a team.
• Proficiency in using compliance management software and tools.

Preferred Skills

• Experience with regulatory reporting and applications.
• Familiarity with SM&CR rules and their application.
• Strong attention to detail and analytical skills.
• Ability to manage multiple tasks and meet deadlines.