Role summary

This is a unique technical expert role within the team. This role is real-time and operational and primarily concentrates on providing expert advice and guidance on the application and interpretation of the relevant rules and related enquires, as well as providing regulatory challenge and support to the team’s directors across all aspects of Primary Market Regulation. 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.

The successful candidate should be able to demonstrate a track record of technical expertise (ideally from a legal or accounting background), working in a fast-paced environment with demanding deadlines with the ability to make sound judgments in a pressured real-time environment.

Responsibilities will increase with experience, with a view to performing key AIM regulatory tasks such as:

• Reviewing early notification and pre-admission announcements in relation to new company applications for admission to trading on AIM in order to provide advanced insight an expertise into the analysis of proposed market applicants;
• Responding to complex external queries on the AIM Rules (primarily from nominated advisers) and other relevant AIM regulatory matter and providing advanced technical input into team discussion about appropriate responses and decisions. Provides senior input into the application and interpretation of relevant rules;
• Undertaking and providing advanced technical advice in relation to the supervision of nominated advisers including leading compliance and thematic reviews of nominated advisers, and examining the eligibility of nominated adviser firms;
• Analysing and providing solutions in relation to matters of regulatory and reputational concern.
• Managing and developing relationships with internal and external stakeholders.
• Contributes to strategic regulatory decisions and proposals, including drafting and development of proposals for rule changes, internal procedures and policy proposals.
• Understanding market and trading data and ensuring that the Exchange adheres to its obligations.
• Providing high quality advanced technical advice and expertise on all relevant aspects of real-time/supervisory/enforcement action 
• Investigating rule breaches and complaints, together with the Investigations & Enforcement part of the team.

Primary market work such as:

• Assessing eligibility of new applications of debt securities for admission to trading to the International Securities Market.
• Providing technical expertise into the consideration of issuers’ obligations under the Admission & Disclosure Standards rules and thematic work in relation to LSE plc’s Primary Markets work, and know-how monitoring (eg ESMA and FCA consultations);
• Supporting the teams directors by undertaking a lead role in relation to project work as required, such as providing technical expertise on the regulatory impact of product development within the Exchange and working with internal teams on regulatory strategy and public affairs matters; and
• Providing senior input into 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 LSE’s 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 the LSE’s Sustainability offerings) research on new issues or trends as they arise.

• Takes ownership, responsibility and accountability for areas of Primary Market and AIM Regulation work –

What you’ll bring

• High level of technical expertise with previous experience in corporate finance, capital markets and/or financial regulation
• 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 / stakeholders;
• 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 competing workloads. Takes on routine tasks as necessary. Carries out work without prompting and close supervision.
• High performance - willingly puts in the effort to ensure activities completed on time and to the quality required. Pro-active and demonstrates initiative with the ability to work under pressure;
• Collaboration - puts project management methodologies in place e.g. keeping team updated and reporting to management on work progress.  Manages conflict appropriately;

• Flexibility – open to expanding knowledge into debt and other market offerings becoming a cross specialist.
• Analysis & Problem Solving - Analyses issues to identify the most appropriate solutions. Utilises all available resources and toolsets to investigate and resolve problems;
• Degree level education or equivalent, qualified accountant or lawyer or other equivalent financial services / compliance experience gained in a bank or other regulator looking to develop UK capital markets experience within a regulatory context.
• Previous experience of: analyzing and interpreting rules; market policy work; and stakeholder management would also be useful.

Desirable skills

• Good level of understanding of the UK financial services landscape and regulation and an interest in regulation;

• Good MS Office experience particularly in Outlook, Word, Excel and PowerPoint;
• Able to demonstrate confidence dealing with external stakeholders.

Some shift work may be required for this role. The Operations and Guidance team of PMAR works on a rota basis between the hours of 7am and 6pm.

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. You will be part of a collaborative and creative culture where we encourage new ideas and are committed to sustainability across our global business. You will experience the critical role we have in helping to re-engineer the financial ecosystem to support and drive sustainable economic growth. Together, we are aiming to achieve this growth by accelerating the just transition to net zero, enabling growth of the green economy and creating inclusive economic opportunity.

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

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.

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