AIM Regulator, Operations & Guidance
Job No: 1307
Job Title: AIM Regulator, Operations Guidance
Industry: Exchange / MTF
Salary: £50,000 - 60,000 + bonus, pension, priv. health etc.
A fantastic opportunity has arisen for a newly qualified accountant to join a leading MTF. The AIM Regulation team performs a number of key roles vital to AIM and it is the most successful growth market in the world. The AIM Regulation is a separate team within the businesses regulatory department that provides essential market regulation. AIM Regulators within the team may carry out work in all functions depending on the skills and experience of that individual and the team's needs.
AIM Regulation supports the day-to-day function of the AIM Market: (i) providing advice externally on all of the AIM Rules, (ii) approving and monitoring the Nominated Advisers, (iii) investigating the AIM Rule breaches and taking disciplinary action, as well as undertaking differentpolicy projects. This role is for a skilled professional, predominantly within the Operations Guidance part of the team.
Key responsibilities:
* Working as a member of the Operations Guidance part of the AIM Regulation team with day-to-day operational matters including:
* Answering external incoming queries on the AIM Rules (primarily from Nomads) and other relevant AIM regulation matters, contributing to team discussion about appropriate responses and decisions and dealing with more complex queries over time;
* Being fully involved in compliance and thematic visits to Nomads, including preparation ahead of a visit, attending and, in time, leading visits, analysing and documenting conclusions and then following-up;
* Examining the eligibility of individual Qualified Executives and Nomad firms and being involved in the Nomad Annual Return eligibility;
* Undertaking research and providing input as required on team projects or policy matters, which may include rule changes or reviews on particular themes;
* Investigation of price movements in AIM securities;
* Undertaking the daily press review to check compliance with continuing disclosure obligations;
* Reviewing pre-admission announcements;
* Investigating rule breaches and complaints, together with the Investigations Enforcement part of the team.
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