Senior Regulator - Primary Market and AIM Regulation

London Stock Exchange Group; London; On-site; GBP 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Senior Regulator to join a dynamic team focused on primary market regulation. This role offers a unique opportunity to apply your legal or accounting expertise in a fast-paced environment, overseeing compliance and advising on regulatory matters. You will engage in projects that impact market development and work closely with various stakeholders. If you are dedicated, proactive, and eager to expand your expertise across equity and debt markets, this position is perfect for you. Join a team that values precision, communication, and continuous learning.

Qualifications

• Degree or equivalent experience in law, accounting, or financial services.
• Experience in regulatory roles within a bank or regulator.

Responsibilities

• Respond to external queries on AIM Rules and regulatory matters.
• Supervise nominated advisers and manage compliance reviews.
• Investigate rule breaches and complaints.

Skills

Clear communication skills

Attention to detail

Analytical abilities

Problem-solving skills

Teamwork skills

Conflict management skills

Flexibility

Education

Degree in Law, Accounting, or Finance

Job description

Senior Regulator - Primary Market and AIM Regulation

A unique and exciting opportunity to join the Primary Market and AIM Regulation team (PMAR), a dynamic and impactful team working in a live market environment.

PMAR is part of the wider Market Regulation team of LSE plc (the Recognised Investment Exchange). Our team comprises experienced lawyers, accountants, and regulators, reporting to the Co-Head of Market Regulation. PMAR oversees primary market regulation for all markets operated by LSE plc, including AIM and the International Securities Market. Responsibilities include applying primary market rules to issuers, assessing eligibility for admission, ongoing compliance, advising nominated advisers, developing rules and policies, investigating rule breaches, and enforcing regulations. The team also contributes to market development initiatives and project work.

Role summary

This operational role focuses on providing advice and guidance on the application and interpretation of relevant rules, handling enquiries, and offering regulatory challenge. While primarily focused on equity capital markets, there is scope to develop expertise in debt and other markets. The role involves contributing to projects, thematic reviews, and supervisory activities.

The ideal candidate will demonstrate technical expertise (preferably from legal or accounting backgrounds), experience working in fast-paced environments, and sound judgment under pressure.

What you'll be doing

Responsibilities include, but are not limited to:

• Responding to external queries on AIM Rules and other regulatory matters, contributing to team discussions;
• Supervising nominated advisers, including compliance reviews and eligibility assessments;
• Managing requests for suspension, restoration, and cancellation of AIM securities;
• Investigating price movements and compliance with disclosure obligations;
• Reviewing announcements and early notifications related to AIM admissions;
• Investigating rule breaches and complaints with the Investigations & Enforcement team;

Additional primary market work involves:

• Assessing eligibility of debt securities for admission to the International Securities Market;
• Considering issuer obligations under relevant standards and monitoring consultations;
• Advising on regulatory impacts of product development and working on strategic projects;
• Handling issues related to new issuers and securities, and participating in committees such as the Admission Review Committee and Sustainability Offerings Committee.

What you'll bring

Key skills and attributes include:

• Clear and precise communication skills tailored to the audience;
• Attention to detail and accuracy;
• Openness to adopting new processes and continuous learning;
• Analytical and problem-solving abilities;
• Ability to prioritize and work independently;
• Dedication, initiative, and proactive attitude;
• Teamwork and conflict management skills;
• Flexibility to expand expertise across markets;

Qualifications include a degree or equivalent experience, with a background as a qualified accountant, lawyer, or in financial services/regulatory roles, preferably within a bank or regulator.

Note: Shift work may be required, with team hours between 7am and 6pm.