You will work for a well-known, highly regarded global financial services company who benefit 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 and providing regulatory advice.
You will also deal with problems when they arise on an ad-hoc basis, positioning yourself as a advisor on regulation and legal matters.
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 financial services related degree
- It would be advantageous for candidates to have a legal background
- A keen interest and desire to work in financial services regulation is essential
- Confident working with a range of stakeholders for example the FCA or senior managers in the business
- Familiarity with the FCA Handbook would be advantageous
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.