Financial Regulatory Legal Expert

Financial Regulatory Legal Expert (UK) Specialist in UK Financial Regulation

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.

• 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 counter parties 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

• 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

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.

Mizuho has in place a hybrid working program, with varying opportunities for remote work depending on the nature of…