Employment for Financial Institutions
Specialist employment advice for financial services.
Employment issues in financial services often unfold under close regulatory scrutiny and can carry significant reputational risk. We advise private banks, wealth managers, insurers and investment firms on employment matters at every stage of the employee lifecycle, combining our knowledge of the sector with legal and commercial judgement.
Our work spans disciplinary and performance processes, regulatory investigations and high-value disputes. We are known for our discretion and for solutions that are practical, commercial and carefully tailored to the pressures of a regulated environment.
How we help financial institutions
- Advising on restructures, reorganisations and acquisitions
- Supporting disciplinary and performance processes, including fitness and propriety issues under the Senior Managers and Certification Regime (SM&CR)
- Managing grievances, whistleblowing and regulatory investigations
- Overseeing employee recruitment, exits and TUPE transfers
- Drafting contracts, handbooks and regulatory references
- Delivering training on EDI, investigations, whistleblowing and regulatory obligations
We also defend financial institutions in sensitive and high-value Employment Tribunal and High Court claims. Our dual perspective acting for both employers and senior executives gives us valuable insight into the tactics and priorities on each side.
Recent work highlights:
- Whistleblowing claim: successfully defended a private bank in a complex, high-value Employment Tribunal whistleblowing case.
- Regulatory investigation: advised a private bank on an investigation into an anonymous whistleblowing disclosure, ensuring the process met both regulatory and employment law standards.
- Restructure: guided an investment bank through a major redundancy and reorganisation process, from planning to completion.
- Training: delivered bespoke training for an investment bank on managing internal investigations in a regulated environment.
