Location
London

Hours
Full Time

Salary
Negotiable

About the Role
Primary Market and AIM Regulation (PMAR) is responsible for first line primary regulatory oversight of all LSE plc markets operated as a Recognised Investment Exchange. This role plays a critical part in maintaining confidence and integrity across these markets by providing advice on rules interpretation, handling regulatory queries, resolving issues in real time and post event, developing Rulebooks and policy guidance, and investigating suspected non-compliance and complaints.

The Senior Regulator role focuses on investigative and enforcement (I&E) activities related to potential breaches of the AIM Rules for Companies and Nominated Advisers, ISM and PSM Rules, and London Stock Exchange Rules. Working within a specialist, multi-skilled team, you will manage a diverse caseload of varying complexity, collaborating closely with senior colleagues to deliver the I&E portfolio.

Additional responsibilities include supporting PMAR’s Operations and Guidance team, contributing to thematic and assurance work, and participating in wider Market Regulation projects. Reporting to the Director of I&E and Head of PMAR, this position offers a unique opportunity to develop expertise across all LSE plc operated markets and engage in all aspects of the team’s work.

The successful candidate will demonstrate a strong interest and ability to develop technical knowledge (ideally legal or accounting), apply sound judgment, and thrive in a fast-paced, collaborative environment.

Key Responsibilities
- Proactively formulate and pursue enquiries into potential non-compliance, including scoping, case strategy development, and information gathering
- Manage communications with issuers, advisers, market participants, and their representatives
- Conduct detailed analysis and forensic scrutiny of evidence gathered through formal requests, interviews, and intelligence
- Deliver tailored verbal and written presentations of findings, evidential analysis, and recommended actions
- Prepare fully evidenced written outcomes ranging from education and warnings to formal disciplinary actions
- Lead or assist with case preparation and presentation before governance and disciplinary committees
- Contribute to development of protocols, procedures, policy, and guidance, supporting operational controls and governance adherence
- Foster relationships with internal business areas, external legal counsel, regulators, and law enforcement
- Assess and respond to information and concerns raised by market participants and investors
- Contribute to compliance and thematic reviews of nominated advisers
- Participate in project work including development of I&E frameworks for new products or markets and undertake research on emerging issues and trends

Experience
Experience in compliance, investigation, legal or accounting roles within financial institutions or regulatory bodies is highly desirable. Part-qualified candidates with transferable skills will also be considered. A good understanding of the UK financial services landscape and regulation is essential.

About you
You should demonstrate strong analytical skills, sound judgment, and the ability to manage a diverse workload independently. Excellent communication skills, both verbal and written, tailored to different audiences are required. You must be proactive, collaborative, and adaptable, with a willingness to learn and develop cross-portfolio expertise. Confidence in managing internal and external relationships and applying project management methodologies is important.

Qualifications
Educated to degree level or equivalent. Ideally qualified or part-qualified as an accountant or lawyer, or with relevant compliance or investigative experience. Proficiency in MS Office applications (Outlook, Word, Excel, PowerPoint, SharePoint) is required, with a developing knowledge or interest in AI tools.