Senior Regulator

JR United Kingdom; London; On-site; GBP 80,000 - 100,000; Full time

Job summary

A leading company in financial markets seeks a Senior Regulator in London. This role emphasizes regulatory tasks in equity capital markets, offering excellent career progression and exposure to the FS market within a collaborative team environment. Ideal candidates are UK or Commonwealth qualified lawyers with financial services experience.

Benefits

Excellent career progression

Supportive team environment

Meaningful contribution opportunities

Great exposure to the FS market

Qualifications

• Experience in financial services in a bank or other regulator.
• Aiming to develop UK capital markets experience within a regulatory context.

Responsibilities

• Responding to external queries on investments and regulatory matters.
• Actioning requests for suspension, restoration, and cancellation of trading.
• Investigating price movements in investment securities.

Skills

Flexibility

Education

UK or Commonwealth qualified lawyer

Job description

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Your new company
Are you seeking a new career path that allows you to leverage your legal expertise? We are recruiting for a unique and exciting opportunity as a Senior Regulator to work in London. You will be working in one of the world's prestigious financial markets organisations, responding to external queries and contribute to discussions on regulatory matters. The responsibilities of this role will focus on equity capital markets, including supervising nominated advisors through compliance reviews, eligibility assessments, as well as managing trading actions such as suspensions, restorations and cancellations of financial services market securities.
You'll be involved in exciting project work, thematic reviews, and supervisory responsibilities, playing a vital role in the regulatory landscape. If you have a strong legal background, thrive in high-pressure environments, and can demonstrate sound judgment, this role could be your next big step.
Your new role

Responsibilities will increase with experience, with a view to performing key regulatory investment tasks such as:

• Responding to external incoming queries on the investments (primarily from nominated advisers) and other relevant investment regulatory matters, contributing to team discussion about appropriate responses and decisions;
• Actioning requests for the suspension, restoration and cancellation of trading in investment securities;
• Investigating price movements in investment securities;
• Review daily media to check compliance with continuing disclosure obligations of investment companies;
• Responsible for managing and executing corporate transactions, including referred price movements, status changes, restorations and bill time matters
• Provide technical advice to investment companies

Day-to-day primary market work such as:

• Consideration of issuers' obligations under the Admission & Disclosure Standards rules and thematic work in relation to Primary Markets work, and know-how monitoring (e.g. ESMA and FCA consultations);
• Project work such as advising on the regulatory impact of product development within the Exchange and working with internal teams on regulatory strategy and public affairs matters; and
• Dealing with primary market issues as they arise, secretariat work for the Admission Review Committee and Sustainability Offerings Committee research on new issues or trends as they arise.
  

What you'll need to succeed

• Flexibility - open to expanding knowledge into debt and other market offerings, becoming a cross specialist.
• UK or Commonwealth qualified lawyer with experience in financial services in a bank or other regulator looking to develop UK capital markets experience within a regulatory context.

What you'll get in return

• Excellent career progression
• Be part of an experienced, supportive team who have a track record of longevity and stability. Opportunity to make a meaningful contribution through a collaborative environment
• Great exposure to the FS market
• Openness to have input and be engrained into the team

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV , or call us now.
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion about your career.

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