Senior Regulator - Primary & AIM Markets

A rare, truly unique and genuinely exciting opportunity has arisen to join a world-renowned global business. Due only to the current incumbent emigrating after almost 5 years in post, they’re seeking a newly / recently qualified accountant to join their Regulatory team who are focused mainly (but not exclusively) on the Capital Markets area. If you’ve recently qualified (ideally in a Practice Firm) with Financial Services clients or an FS business, have a keen interest in FS / Capital Markets and are interested in something a little different to the usual Financial Management career path this could be for you!

Role Summary

This real-time operational role primarily concentrates on the provision of advice and guidance on the application and interpretation of the relevant rules and related enquires, as well as providing regulatory challenge. The role is focussed on equity capital markets, however offers scope for the successful applicant to develop both debt and equity capital markets expertise given the remit of the team. The role also includes contributing to project, thematic and supervisory work.

What You’ll Be Doing

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 the business’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 business 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 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 Sustainability offerings) research on new issues or trends as they arise.

What You’ll Bring

Key Skills & Attributes

• The successful candidate should be able to demonstrate a track record of technical expertise (ideally from an accounting or legal background), who’s recently qualified in Practice with FS clients or through the FS industry
• Has worked 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;
• 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.