You will work for a well-known, highly regarded global exchange benefiting from a market-leading position.
This opportunity sits in a team of qualified lawyers who are responsible for working with corporate firms and their mandated law firms, advising all stakeholders on their obligations for issuing an IPO.
You will also deal with problems when they arise on an ad-hoc basis, positioning yourself as a subject matter on expert on regulation and legal matters and being a trusted advisor. These problems could be in relation to new issuers, or the appropriateness of newly proposed securities to be offered on the exchange.
Secondary to the above responsibilities, you will get involved in all legal and regulatory matters required for the day-to-day running of the exchange.
Specifically, this will involve:
- Answering external incoming queries on the rules of the exchange and other regulation matters, contributing to team discussion about appropriate responses and decisions
- Being involved in compliance and thematic visits to, including preparation ahead of a visit, attending and, in time, leading visits, analysing and documenting conclusions and then following-up
- Investigation of price movements in securities
- Undertaking the daily press review to check compliance with continuing disclosure obligations
- Investigating rule breaches and complaints
- Must have a law degree or legal background
- Experience in analysing and understanding financial services regulations
- Confident working with external stakeholders for example the FCA
- Familiarity with the FCA Handbook
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Marmoy-Haynes at Twenty Recruitment.
Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.