Senior Regulator – Primary Market and AIM Regulation – Investigations and Enforcement

Role Profile

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. Playing a critical role in maintaining confidence in and the integrity of those markets, 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 and investigating suspected non-compliance and complaints.

Comprising experienced lawyers, accountants and regulators, the team manages a wide portfolio covering all key aspects of Primary market operation of AIM, the International Securities Market (“ISM”) and the Private Securities Market (“PSM”); investigative and disciplinary activity and regulatory input into LSE plc projects, products and market development.

This Senior Regulator role primarily focusses 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 “AIM Rules”), the ISM and PSM Rules and the Rules of the London Stock Exchange. Working as part of a specialist, multi-skilled team, the role involves proactive day-to-day individual responsibility and accountability for a broad caseload of a varying degrees of complexity, working in close partnership with more senior-level colleagues to deliver the I&E portfolio. The role may also involve supporting the real-time work of PMAR’s Operations and Guidance team, contributing to thematic and assurance work and to wider Market Regulation projects and initiatives as required.

Reporting to the Director of I&E and the Head of PMAR, the role provides a unique opportunity to develop insight, knowledge and expertise of all of LSE plc’s operated markets and involvement in all aspects of the teams work.

The successful candidate should be able to demonstrate a track record of an interest and ability to learn and develop technical knowledge and expertise (ideally in a legal or accounting context), apply sound judgment and a desire to gain experience of working in a fast-paced, collaborative, environment.  

Key Responsibilities

I&E, complaints and enquiries:

·        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 fomal 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 amd operating procedures, policy and guidance and supports adherence to operational controls and governance. 

·        Supports and nutures 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 transferrable skills will be considered

·      Good level of understanding of the UK financial services landscape and regulation and an interest in regulation.

·      MS Office skill  particularly in Outlook, Word, Excel and PowerPoint and sharepoints, with a developing knowledge or familiarity of AI tools

Career Stage:

London Stock Exchange Group (LSEG) Information:

Join us and be part of a team that values innovation, quality, and continuous improvement. If you're ready to take your career to the next level and make a significant impact, we'd love to hear from you.

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.

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.

You will be part of a collaborative and creative culture where we encourage new ideas. We are committed to sustainability across our global business and we are proud to partner with our customers to help them meet their sustainability objectives. Our charity, the LSEG Foundation provides charitable grants to community groups that help people access economic opportunities and build a secure future with financial independence. Colleagues can get involved through fundraising and volunteering.

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

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