Senior Regulator - Primary Market and AIM Regulation

TN United Kingdom; London; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

An established industry player seeks a Senior Regulator for its dynamic team in London. This role focuses on providing expert advice on AIM Rules and regulatory challenges within equity capital markets. The firm, renowned for its collaborative culture, offers a hybrid working model and strong progression opportunities. Ideal candidates will possess a degree or equivalent experience, with a dedication to clear communication and problem-solving. Join a supportive team where your contributions will significantly impact the regulatory landscape.

Benefits

Hybrid working arrangement

Strong progression opportunities

Collaborative and supportive culture

Qualifications

• Degree-level education or equivalent experience required.
• Qualifications as an accountant or lawyer preferred.

Responsibilities

• Address external queries on AIM Rules and regulatory matters.
• Monitor daily media for compliance with disclosure obligations.
• Investigate rule breaches and complaints.

Skills

Clear and precise communication skills

Strong attention to detail

Critical thinking and problem-solving

Ability to prioritise and work independently

Effective collaboration and conflict management

Education

Degree-level education or equivalent experience

Qualifications as an accountant or lawyer

Comparable financial services compliance experience

Job description

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Senior Regulator - Primary Market and AIM Regulation, London

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Client:

Location:

London, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Reference:

f11967df2b12

Job Views:

2

Posted:

02.05.2025

Expiry Date:

16.06.2025

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Job Description:

Your new company

Our client is one of the world's oldest stock exchanges, operating as a modern electronic trading platform, processing over a million trades daily. It hosts the Main Market, with over 1,000 companies from 60+ countries, and AIM, a successful growth market launched in 1995. The firm facilitates capital formation by enabling companies and governments to issue securities, which can be traded by various investors. Additionally, it provides high-quality financial data and analytics to the global financial community.

Your new role

This dynamic operational role focuses on providing advice and guidance on the application and interpretation of relevant rules and handling related enquiries, while also offering regulatory challenges. Although primarily centered on equity capital markets, it offers opportunities to develop expertise in both debt and equity capital markets, given the team's broad remit.

Responsibilities:

1. Addressing external queries on AIM Rules and related regulatory matters, primarily from nominated advisers, and contributing to team discussions on responses and decisions.
2. Handling requests for suspension, restoration, and cancellation of trading in AIM securities.
3. Monitoring daily media for compliance with AIM companies' disclosure obligations.
4. Supervising nominated advisers, including leading compliance and thematic reviews, and assessing the eligibility of nominated adviser firms.
5. Investigating price fluctuations.
6. Reviewing early notifications and pre-admission announcements for companies applying to join AIM.
7. Investigating rule breaches and complaints with the Investigations & Enforcement team.

What you'll need to succeed

Degree-level education or equivalent experience, with qualifications as an accountant or lawyer, or comparable financial services compliance experience from a bank or regulator, seeking to develop and learn UK capital markets expertise in a regulatory context.

Other key skills include:

• Clear and precise communication skills.
• Strong attention to detail.
• Openness to new processes and seeking input.
• Critical thinking and problem-solving.
• Ability to prioritise and work independently.
• Dedication to timely and quality completion.
• Effective collaboration and conflict management.
• Flexibility to expand knowledge into other markets.

What you'll get in return

• The salary for the role is up to £80k, plus a target bonus, depending on experience.
• Hybrid working arrangement: 3 days in the office per week and 2 days working from home.
• A fantastic working culture with strong progression opportunities to develop and learn. The majority of the team have been with the firm for 10+ years, which attests to the positive culture. The team is forward-thinking, collaborative, and supportive.