Legal Counsel – Disputes

🔥 2 hours ago

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Nucleus Financial

WebsiteLinkedInAll Job Openings

501 - 1000 employees

Founded 2006

💸 Finance

💳 Fintech

☁️ SaaS

Finance • Fintech • SaaS

Nucleus Financial is one of the UK's leading independent groups for investment platforms, products and wealthtech software, and the only large-scale group with a comprehensive range of bespoke platform solutions to meet the evolving needs of advisory and investment management firms of all sizes, as well as their clients. They offer adviser and customer-facing platforms (Nucleus Platform), retirement-focused adviser platform combining technology and pension expertise, a wrap platform (Nucleus Wrap), SIPPs via James Hay and Curtis Banks, enterprise solutions (Third Financial), and wealthtech services (Dunstan Thomas). The group administers £110bn assets under administration, serves 251k customers and ~5. 2k advice firms. Headquarters in Salisbury, UK. They provide digital capability, back-office integrations, regulatory and legal information, and BDM booking for demos. The company focuses on retirement and wealth management solutions for advisers and customers in the UK.

📋 Description

• Acting as the Group’s litigation SME, leading on all aspects of the life cycle of litigation relating to the Group’s business and products (including SIPPs and underlying investments) • Analyzing and responding to pre-action correspondence • Advising the business on legal and commercial strategy, aligning with regulatory expectations and conduct risk frameworks • Overseeing and supporting the conduct of litigation, including managing routine litigation and instructing and managing external counsel where appropriate • Liaising with our Insurance Manager, including drafting and managing notifications, securing coverage, providing updates and assisting with settlement discussions • Building and maintaining effective relationships with the Group’s external legal advisers • Maintaining heatmaps showing the status and progress of the Group’s active litigation • Supporting and advising our Customer Resolutions Team on material complaints, including shaping strategy and drafting submissions to the Financial Ombudsman Service • Preparing reports for board and executive committees on material matters and the Group’s evolving litigation landscape • Supporting the Finance team on material matters requiring provisioning • Providing broader contentious and risk-based legal advice in relation to the Group’s financial services products and operations • Developing and maintaining precedents, playbooks and tools to enhance consistency, efficiency and best practice across the Legal team • Identifying opportunities to improve processes (within Legal and across the business) and implementing solutions to enhance risk management, efficiency and outcomes • Building strong relationships with key stakeholders across the business to ensure effective management of disputes and complaints • Providing input into governance forums and risk committees on litigation and dispute trends

🎯 Requirements

• Solicitor qualified in England & Wales with at least 4 years’ experience in dispute resolution in a financial services setting and entitled to work in the UK • Understanding of the FCA and PRA regulatory landscape • Understanding of trust law • Understanding of SIPP and platform structures and associated products (e.g., ISA, GIA and access to off-platform products) (desirable but not essential) • Excellent PowerPoint/Word/Excel skills • Excellent relationship building skills • Great written and verbal communication skills, with the ability to present to groups, engage with a diverse workforce and communicate complex concepts in an easy to understand manner • Strong negotiation and conflict resolution skills • Ability to work on own initiative, independently and to prioritise effectively in accordance with business strategy • Ability to manage conflicting priorities and evolving work demands without sacrificing quality or accuracy

🏖️ Benefits

• Pension • Bonus • Enhanced parental leave • Paid time off for emergencies • Health and wellbeing initiatives • Flexible working options