Senior Regulator - Primary Market and AIM Regulation
JOB_53138634682098Job type
PermanentLocation
LondonWorking Pattern
Full-timeSpecialism
Banking Accouting And FinanceIndustry
Banking & Financial ServicesPay
£80000
Senior Regulator – Primary Market and AIM Regulation | £80,000 | London | Hybrid
Your new company
Our client is one of the world's oldest stock exchanges, and operates 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 focusses on providing advice and guidance on the application and interpretation of relevant rules and handling related enquiries, while also offering regulatory challenges. Although the role is primarily centred on equity capital markets, it provides opportunities for the successful candidate to develop expertise in both debt and equity capital markets, given the team's broad remit.
Responsibilities:
- Addressing external queries on AIM Rules and related regulatory matters, primarily from nominated advisers, and contributing to team discussions on responses and decisions.
- Handling requests for suspension, restoration, and cancellation of trading in AIM securities.
- Monitoring daily media for compliance with AIM companies' disclosure obligations.
- Supervising nominated advisers, including leading compliance and thematic reviews, and assessing the eligibility of nominated adviser firms.
- Investigating price fluctuations.
- Reviewing early notifications and pre-admission announcements for companies applying to join AIM.
- Investigating rule breaches and complaints with the Investigations & Enforcement team.
- 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.
- Open 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 12.5% 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. It is worth noting that the majority of the team have been with the firm for 10+ years, which is a testament to the culture this position has to offer. The team is very forward-thinking, collaborative, and supportive.
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.
Senior Regulator - Primary Market and AIM RegulationJOB_531386346820982025-04-292025-07-28
Talk to Keval Amin, the specialist consultant managing this position
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JOB_53138634682098