United Kingdom
Legal Counsel with years of experience providing comprehensive legal support within the financial services sector, particularly in wealth management. Adept at navigating complex regulatory environments, ensuring compliance, and mitigating legal risks. Proven track record in drafting, reviewing, and negotiating a wide range of legal documents, including contracts, agreements, and policies. Strong analytical skills with the ability to provide strategic legal advice to senior management and stakeholders. Committed to upholding the highest ethical standards and fostering a culture of compliance and integrity.
Providing legal advice on regulatory compliance and risk management. Advising on ad-hoc general commercial matters (employment, intellectual property etc.) Drafting and negotiating contract, agreements, and other legal documents. Collaborated with senior management to develop and implement legal strategies. Conducted legal research and analysis to support business operations. managing legal aspects of wealth management services. Ensuring compliance with financial regulations and corporate governance standards. Advising on legal risks and mitigation strategies.
Provide day to day legal advice and support primarily to the retail division of Raymond James UK. Day to day tasks include: Advice and Contracts Advising on ad-hoc general commercial matters (employment, intellectual property etc.) Supporting Compliance and Legal/Privacy on investigations (both internal and external) Drafting, reviewing and updating Raymond James policies and procedures Drafting and reviewing a variety of standard and non-standard contracts Drafting and reviewing side/variation letters Creating, updating and maintaining Raymond James standard contracts Reviewing restrictive covenants and drafting legal obligations letters Complaints Responding to complaints Where required, dealing with the Financial Ombudsman Service Maintaining and update customer complaints data and management information Reporting to, and liaising with, professional indemnity insurers Data Protection Assisting with day to day compliance Assisting with the on-going GDPR programme Reviewing and drafting data protection related policies, privacy notices and procedures Reviewing ICO/Article 29 working party policy and guidance notes and drafting summaries Responding to data subject requests such as subject access requests and right to erasure Investigating and responding to data breaches Maintaining the data breach register Managing any annual notification to the ICO and any other ICO notifications Compliance Assisting the wider Compliance Team as and when required
Manage a large caseload, dealing with each case from instruction to settlement; Dealing with various areas of law including property and employment; Managing Insurer Client relationships as a liaison, dealing with Insurer Clients auditing legal work and ensuring that a commercial view is taken when dealing with settlement negotiations; Formulate action plans based on the thorough analysis of this information, often applying the Civil Procedure Rules and case law to ensure we take the best course of action for the client; Use my knowledge in law and experience to guide the client through the litigation process; Present reports to various stakeholders in the law firms, ranging from associates in litigation to compliance officer; Provide legal advice and manage the expectations of the client as a number one priority whilst also ensuring the expectations of our internal stakeholders are carefully addressed – often escalating to senior stakeholders if a case is not being resolved efficiently; Work expeditiously to ensure all relevant legal forms are filed correctly and on time given the strict nature of these court deadlines. Negotiate settlements and obtaining best possible outcome for the firm whether through informal or formal negotiations. Maximising profitability for the firm. Deal with a high number of clients on a daily basis therefore have an excellent ability in understanding the urgency of cases and by extension an excellent ability to prioritise work; Completion of court documents and ensuring all court deadlines are met; prepare numerous court documents including costs budgets, N260s and Bill of Costs; Preparation of enforcement applications for debt recovery. Performing legal research; Training new starters and existing employee
First point of contact for clients looking to initiate a civil claim ensuring that they review our retainer (terms of business) before instructing us. Review the nature of the claim by analysing a plethora of information provided by the client and the opposing solicitors once compliance gives the go ahead. Manage a team of 12 individuals providing support and delegating work where appropriate. Ensuring all Service Level Agreements are met.
Creating organisational documents, including articles of incorporation or dissolution, stock certificates and merger agreements. Drafting contracts such as employment contracts and non- compete agreements. Consideration of commercial contracts/documents including service agreements, supplier agreements etc. Creating and distributing annual reports. Assisting with paperwork as required by the partner. Assisting with ethics and compliance programs. Performing legal research. Assisted in securing the mandates of Clients. Providing requests for information. Undertook an internship with the UAE based law firm with offices in both Dubai and Abu- Dhabi. Currently working with the firm on a part-time basis.