Senior Regulator – Primary Market and AIM Regulation in London

Primary Market and AIM Regulation (PMAR) is responsible for first line primary regulatory oversight of all of LSE plc’s markets operated in its capacity as a Recognised Investment Exchange. PMAR’s responsibilities include:

• Providing advice to issuers, advisers and market participants concerning rules interpretation and application.
• Dealing with regulatory queries.
• Real time and post event issue resolution.
• Development of Rulebooks and associated policy and guidance.
• Investigating suspected non-compliance and complaints.

This Senior Regulator role primarily focuses on investigative and enforcement (I&E) activity relating to potential non-compliance with the obligations and responsibilities contained in the AIM Rules for Companies and for Nominated Advisers, the ISM and PSM Rules and the Rules of the London Stock Exchange.

Key Responsibilities:

• Pro-actively formulates and pursues enquiries into potential non-compliance with our Rulebooks including scoping, development of case strategies and information gathering.
• Manages communications with issuers, advisers and market participants and their representatives.
• Undertakes analysis, assessment and robust forensic scrutiny of information and evidence gathered through formal information requests, interviews and intelligence.
• Delivery of audience-tailored verbal and written presentation of findings, evidential analysis and recommendations of proposed actions.
• Preparation of fully evidenced written outcomes from rules education and findings of non-compliance through to formal disciplinary action ranging from warning notices and statements of case to pursue more material sanctions.
• Lead or assist with the preparation and case presentation before case governance and disciplinary committees.
• Contributes to the development of protocols and operating procedures, policy and guidance and supports adherence to operational controls and governance.
• Supports and nurtures relationships with other business areas and functions, external legal counsel and other regulators or law enforcement.
• Assesses and responds to information and concerns raised by market participants and investors.

Eligibility and ongoing assurance work:

• Contribute to compliance and thematic reviews of nominated advisers.

Projects and research:

• Involvement in project work, such as development of I&E frameworks for new products or markets.
• Undertaking research on new issues or trends as they arise and thematic work in relation to LSE plc’s Primary Markets portfolio.

Key Behaviours:

• Communication - Oral and written communications are tailored to their audience’s needs.
• Maximising opportunities - Open to and willingly adopts new processes/approaches/ways of working. Seeks information/inputs from colleagues/clients.
• Excellence - Willingly puts in the effort to ensure activities completed on time and to the quality required. Pro-active and demonstrates initiative and personal accountability for all assigned responsibilities.
• Partnership, collaboration and change - Demonstrate confidence dealing with internal and external relationships; implement project management methodologies and keep colleagues and management updated on work progress.
• Analysis & Problem Solving - Analyses issues to identify the most appropriate solutions. Utilises all available resources and toolsets to investigate and resolve problems.
• Delivery - Prioritises and manages a diverse and varied workload. Takes on routine tasks as necessary. Carries out work without prompting and close supervision.
• Flexibility - Open to expanding knowledge of all market offerings, becoming a cross portfolio specialist.

Key Skills (Essential):

• Educated to degree level or equivalent. Ideally a qualified accountant or lawyer or with compliance or investigative experience gained in a financial institution or with another regulator. Part qualified candidates with demonstrable transferable skills will be considered.
• Good level of understanding of the UK financial services landscape and regulation and an interest in regulation.
• MS Office skills particularly in Outlook, Word, Excel and PowerPoint and SharePoint, with a developing knowledge or familiarity of AI tools.

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. We are proud to be an equal opportunities employer.