You will join a highly reputable, well known financial services institution which holds a market leading presence in its sector. Year on year this firm has experienced growth and will offer you a secure, challenging and rewarding working environment alongside the opportunity to further develop your experience. The company invest heavily in their technology ensuring they are a leader in the market.
This opportunity sits in a team of qualified lawyers & accountants 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 by the organisation.
Secondary to the above responsibilities, you will get involved in all legal and regulatory matters required for the day-to-day running of the organisation.
Specifically, this will involve:
- Answering external incoming queries on the rules of the firm and other regulatory matters
- Being involved in compliance and thematic visits to corporate firms
- Investigation of price movements in securities
- Performing daily press reviews to check compliance with continuing disclosure obligations
- Investigating rule breaches and complaints as part of a wider team
- Must be either a qualified lawyer or fully qualified accountant
- Experience in analysing and understanding financial services regulations
- Confident working with external stakeholders
- 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 Jack Quaile 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.