Senior Regulator - Primary Market and AIM Regulation | London, UK

London Stock Exchange Group; London; On-site; GBP 60,000 - 80,000; Full time

Job summary

Join a dynamic team at a leading financial institution as a Senior Regulator, focusing on primary market and AIM regulation. This role involves providing expert advice on regulatory matters, managing compliance, and contributing to market development initiatives. Ideal candidates will possess strong analytical skills and a background in law or finance, thriving in a fast-paced environment. Flexibility and collaboration are key as you navigate complex regulatory challenges.

Qualifications

• Experience in a fast-paced environment.
• Regulatory experience within a bank or regulator.

Responsibilities

• Responding to queries on AIM Rules and regulatory matters.
• Managing requests for suspension or cancellation of AIM securities trading.
• Investigating rule breaches and complaints.

Skills

Communication

Attention to Detail

Critical Thinking

Problem Solving

Flexibility

Education

Degree or equivalent experience

Qualified accountant

Lawyer

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 across 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, policies, and guidance, investigating rule breaches, and enforcing regulations. The team also contributes to market development initiatives and projects.

Role summary

This operational role primarily involves providing advice and guidance on the application and interpretation of relevant rules, handling enquiries, and offering regulatory challenge. While focused on equity capital markets, there is scope to develop expertise in debt and other market offerings. The role includes contributing to projects, thematic reviews, and supervisory tasks. The ideal candidate will demonstrate technical expertise (preferably from a legal or accounting background), experience in a fast-paced environment, and sound judgment under pressure.

What you'll be doing

Responsibilities will grow with experience, including:

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

Day-to-day primary market work includes:

• Assessing eligibility of debt securities for admission to the International Securities Market;
• Considering issuer obligations under standards and monitoring consultations (e.g., ESMA, FCA);
• Advising on regulatory impacts of product development and working on strategic projects;
• Handling primary market issues, secretariat duties for admission review committees, and researching market trends.

What you'll bring

Key skills and attributes

• Clear and precise communication skills tailored to the audience;
• Attention to detail and accuracy;
• Openness to adopting new processes and seeking inputs;
• Critical thinking and problem-solving abilities;
• Ability to prioritize and work independently;
• Dedication, initiative, and proactive attitude;
• Collaborative approach and conflict management skills;
• Flexibility to expand knowledge into debt and other markets;

Qualifications include a degree or equivalent experience, qualified accountant, lawyer, or relevant financial services/regulatory experience, ideally within a bank or regulator.

Some shift work may be required, with rota hours between 7am and 6pm.