Senior Regulator - Primary Market and AIM Regulation

PMAR sits within the wider Market Regulation team of LSE plc (the Recognised Investment Exchange). We consist of experienced lawyers, accountants and regulators and report to the Co-Head of Market Regulation. PMAR is responsible for the primary market regulation of all markets operated by the LSE plc including AIM and the International Securities Market. This work includes determination of the application of primary market rules to issuers, including eligibility rules on admission and compliance on an ongoing basis, the regulation and provision of advice to nominated advisers, development of rules, policy and associated guidance in respect of all operated markets. PMAR also has responsibility for investigating rule breaches by nominated advisers, and companies on those markets and also secondary market matters, taking enforcement action where appropriate as well as the regulatory input into LSE plc projects, product innovations and market development initiatives., Responsibilities will increase with experience, with a view to performing key AIM regulatory tasks such as:

• Responding to external incoming queries on the AIM Rules (primarily from nominated advisers) and other relevant AIM regulatory matters, contributing to team discussion about appropriate responses and decisions;


• The supervision of nominated advisers including leading compliance and thematic reviews of nominated advisers, and examining the eligibility of nominated adviser firms;


• Actioning requests for the suspension, restoration and cancellation of trading in AIM securities;


• Investigating price movements in AIM securities;


• Review daily media to check compliance with continuing disclosure obligations of AIM companies;


• Reviewing early notification and pre-admission announcements in relation to new company applications for admission to trading on AIM; and


• Investigating rule breaches and complaints, together with the Investigations & Enforcement part of the team.


Day-to-day primary market work such as:

• Assessing eligibility of new applications of debt securities for admission to trading to the International Securities Market.


• Consideration of issuers' obligations under the Admission & Disclosure Standards rules and thematic work in relation to LSE plc's 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 (for example in relation to new issuers or the appropriateness of new securities for admission to trading), secretariat work for the LSE's Admission Review Committee (which looks at admissions to trading for markets other than AIM) and Sustainability Offerings Committee (which looks eligibility considerations relating to certain applications for the LSE's Sustainability offerings) research on new issues or trends as they arise., Critical thinking / problem solving - analyses issues to identify the most appropriate solutions. Utilises all available resources and toolsets to investigate and resolve problems;


• Delivery - ability to prioritise workloads. Takes on routine tasks as necessary. Carries out work without prompting and close supervision.


• Dedication - willingly puts in the effort to ensure activities completed on time and to the quality required. Pro-active and demonstrates initiative.


• Collaboration - puts project management methodologies in place e.g. keeping team updated and reporting to management on work progress. Handles conflict appropriately;



• Flexibility - open to expanding knowledge into debt and other market offerings becoming a cross specialist.


• Degree level education or equivalent experience, qualified accountant or lawyer or other equivalent financial services / compliance experience gained in a bank or other regulator looking to develop UK capital markets experience within a regulatory context.


Some shift work may be required for this role. The Operations and Guidance team of PMAR works on a rota basis between the hours of 7am and 6pm.

The successful candidate should be able to demonstrate a track record of technical expertise (ideally from a legal or accounting background), working in a fast-paced environment with the ability to make sound judgments in a pressured real-time environment.,
• Oral and written communications skills that are clear, precise and appropriately tailored for the relevant audience;


• Attention to detail - demonstrate a concern for accuracy and thoroughness so that sufficiently detailed information is recorded correctly;


• Maximising opportunities - be open to and willingly adopts new processes / approaches / ways of working. Seeks information / inputs from colleagues / partners
  
  LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a commitment to excellence in delivering the services our customers expect from us. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable businesses and economies around the world to fund innovation, manage risk and create jobs. It's how we've contributed to supporting the financial stability and growth of communities and economies globally for more than 300 years.


Through a comprehensive suite of trusted financial market infrastructure services - and our open-access model - we provide the flexibility, stability and trust that enable our customers to pursue their ambitions with confidence and clarity.

LSEG is headquartered in the United Kingdom, with significant operations in 70 countries across EMEA, North America, Latin America and Asia Pacific. We employ 25,000 people globally, more than half located in Asia Pacific. LSEG's ticker symbol is LSEG.

OUR PEOPLE:

People are at the heart of what we do and drive the success of our business. Our culture of connecting, creating opportunity and delivering excellence shape how we think, how we do things and how we help our people fulfil their potential.

We embrace diversity and actively seek to attract individuals with unique backgrounds and perspectives. We break down barriers and encourage teamwork, enabling innovation and rapid development of solutions that make a difference. Our workplace generates an enriching and rewarding experience for our people and customers alike. Our vision is to build an inclusive culture in which everyone feels encouraged to fulfil their potential.

We know that real personal growth cannot be achieved by simply climbing a career ladder - which is why we encourage and enable a wealth of avenues and interesting opportunities for everyone to broaden and deepen their skills and expertise.

As a global organisation spanning 70 countries and one rooted in a culture of growth, opportunity, diversity and innovation, LSEG is a place where everyone can grow, develop and fulfil your potential with meaningful careers.

LSEG is a leading global financial markets infrastructure and data provider. Our purpose is driving financial stability, empowering economies and enabling customers to create sustainable growth.

Our purpose is the foundation on which our culture is built. Our values of Integrity, Partnership, Excellence and Change underpin our purpose and set the standard for everything we do, every day. They go to the heart of who we are and guide our decision making and everyday actions.

Working with us means that you will be part of a dynamic organisation of 25,000 people across 65 countries. However, we will value your individuality and enable you to bring your true self to work so you can help enrich our diverse workforce. You will be part of a collaborative and creative culture where we encourage new ideas and are committed to sustainability across our global business. You will experience the critical role we have in helping to re-engineer the financial ecosystem to support and drive sustainable economic growth. Together, we are aiming to achieve this growth by accelerating the just transition to net zero, enabling growth of the green economy and creating inclusive economic opportunity.

LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives.

We are proud to be an equal opportunities employer. This means that we do not discriminate on the basis of anyone's race, religion, colour, national origin, gender, sexual orientation, gender identity, gender expression, age, marital status, veteran status, pregnancy or disability, or any other basis protected under applicable law. Conforming with applicable law, we can reasonably accommodate applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs.

Please take a moment to read this privacy notice carefully, as it describes what personal information London Stock Exchange Group (LSEG) (we) may hold about you, what it's used for, and how it's obtained, your rights and how to contact us as a data subject.

If you are submitting as a Recruitment Agency Partner, it is essential and your responsibility to ensure that candidates applying to LSEG are aware of this privacy notice.