Senior Regulator

Your new role

• Responsibilities will increase with experience, with a view to performing key regulatory investment tasks such as:
• Responding to external incoming queries on the investments (primarily from nominated advisers) and other relevant investment regulatory matters, contributing to team discussion about appropriate responses and decisions;
• Actioning requests for the suspension, restoration and cancellation of trading in investment securities;
• Investigating price movements in investment securities;
• Review daily media to check compliance with continuing disclosure obligations of investment companies;
• Responsible for managing and executing corporate transactions, including referred price movements, status changes, restorations and bill time matters
• Provide technical advice to investment companies

Day-to-day primary market work such as:

• Consideration of issuers' obligations under the Admission & Disclosure Standards rules and thematic work in relation to 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, secretariat work for the Admission Review Committee and Sustainability Offerings Committee research on new issues or trends as they arise.
  
  

What you'll need to succeed

• Flexibility - open to expanding knowledge into debt and other market offerings, becoming a cross specialist.
• Financial Services experience including; Capital Markets/ Corporate/ Regulatory.
• UK or Commonwealth qualified lawyer with experience in financial services in a bank or other regulator looking to develop UK capital markets experience within a regulatory context.

What you'll get in return

• Excellent career progression
• Be part of an experienced, supportive team who have a track record of longevity and stability. Opportunity to make a meaningful contribution through a collaborative environment
• Great exposure to the FS market
• Openness to have input and be engrained into the team

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.

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