Regulator, Primary Market and AIM Regulation

Role profile

An exciting team support opportunity within the Primary Market and AIM Regulation team (“PMAR”), which plays a critical role in the primary market regulation of key markets operated by the LSE plc (the ‘Exchange’ which is a Recognised Investment Exchange) – in particular the Alternative Investment Market (AIM), the International Securities Market (ISM) and the Private Securities Market (PSM)

The role is a key support role to the PMAR team’s work - which encompasses a broad portfolio of regulatory responsibilities including the day to day oversight and operation of AIM, ISM and PSM, the development of the relevant rulebooks and frameworks, consideration of new applicants to our markets, dealing with queries over the interpretation and application of the relevant rulebooks, investigating and considering concerns relating to alleged non-compliance with the rules, close liaison with other key teams within the Exchange over regulatory matters and with other regulators and managing queries and correspondence with professional advisers, market participants and investors.

Role Summary and candidate profile

The Regulator will be responsible for procedural and administrative support, undertaking research, managing information and day to day case and matter management in relation to all aspects of PMAR’s functions and responsibilities - but with particular focus in supporting the work of PMAR’s investigation and enforcement function which has day to day responsibility for considering and investigating allegations of non-compliance with the rulebooks. The role will also involve providing, support for the regulatory work of the wider PMAR team, working in partnership with other members of PMAR Sri Lankan based team and providing the opportunity cross-skill and learn and develop an understanding of PMAR wider portfolio of responsibilities

We are seeking a graduate, or early career stage postgraduate with demonstrable interest in legal regulatory or compliance matters who are looking to develop a career in capital markets regulation.

What will you be doing

Administrative, procedural & organizational support

• Provide general and ongoing support to the PMAR team on day to day matters.

• Maintain records, key data and matter management filing in compliance with operational protocols and governance

Management information & reporting

• Assist with organisation, and coordination of data and information to support the production of metrics, management information and reporting for PMAR’s functions.

Content & research support

• Conduct factual or routine research using open-source and other methodologies.

• Produce summaries, chronologies or reports – working to briefs from the more senior members of the team

Case & project management

• Maintain case matter and project management records with audit trails.

• Support for all investigations and enforcement actions and complaints management by maintaining case files and ensuring compliance with evidence management protocols.

Drafting and management of routine communications

· Under supervision, drafting and preparation of non-material routine written communications

Key skills and attributes

Strengths You'll Need

• Organizational Skills: Strong ability to prioritize tasks, manage competing work streams, and maintain attention to detail.

• Communication: Excellent verbal and written communication in English; able to tailor messages to different audiences and articulate ideas clearly.

• Analytical Thinking: Skilled at analyzing issues and identifying appropriate solutions.

• Technical Proficiency: Advanced MS Office 365 skills (Outlook, Word, Excel and PowerPoint), document creation expertise, and solid literacy and numerical ability. Familiarity with MS Teams and Sharepoint based tools such as OneNote. Ability to learn and use new resources such a Co-pilot

Personal Attributes

• Collaboration & Independence: Works well in teams and independently; demonstrates initiative and proactivity. Build and maintain strong internal working relationships. Work independently under high-pressure conditions.

• Adaptability & Learning: Willing to learn, take direction, and adapt to changing priorities.

• Confidentiality & Discretion: Maintains confidentiality and exercises tact and discretion at all times.

• Resilience & Drive: Shows tenacity, flexibility, and dedication to meeting deadlines and quality standards.

Professional Approach

• Relationship Building: Ability to build and maintain strong internal relationships at all levels.

• Delivery Focus: Committed to completing tasks on time and to the required quality.

• Work Ethic: Appetite for hard work and readiness to meet role demands.

Desirable skills

• Bachelor’s degree or an equivalent qualification

• Interest/prior experience in regulatory or compliance roles

• Minimum 2 years’ experience in a similar administrative and support role

Working style and hours of work

• Hybrid working style - blended 3 days of work in office

• Shift work – UK working hours

• Office location – Malabe

Key Behaviours/Values

• Integrity: We stand by our principles and deliver on our promises. We earn trust by acting responsibly.

• Partnership: Our open model is integral to how we do business. We forge long-term relationships; we work together to solve evolving needs and deliver strategic outcomes.

• Excellence: Our breadth of capabilities sets us apart, globally. We achieve industry leading outcomes by combining unique, diverse perspectives and knowledge across markets.

• Change: We embrace change. We combine human ingenuity, technology, risk management, and insight to create the products and services that lead and shape the industry

What you’ll get in return

• Ability to work in a dynamic, exciting environment at the heart of global capital markets

• Be part of a collegiate, hardworking team

• Exposure to internal stakeholders; and

• Hybrid working environment.

Career Stage:

Associate

London Stock Exchange Group (LSEG) Information:

Join us and be part of a team that values innovation, quality, and continuous improvement. If you're ready to take your career to the next level and make a significant impact, we'd love to hear from you.

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.

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.

You will be part of a collaborative and creative culture where we encourage new ideas. We are committed to sustainability across our global business and we are proud to partner with our customers to help them meet their sustainability objectives. Our charity, the LSEG Foundation provides charitable grants to community groups that help people access economic opportunities and build a secure future with financial independence. Colleagues can get involved through fundraising and volunteering.

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

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