AIM Regulator
Our client, one of the world’s largest Financial Services Institutes, is looking to recruit an AIM Regulator, to work within the Investigations and Enforcement team. The position will require a candidate with experience in Capital Markets and an understanding of the Financial Services legislation. The ability to communicate at all levels within the business and utilise all available resources to investigate and resolve problems is essential to this role.
Responsibilities will include:
· Investigating complaints
· Provide support and advice to the AIM Regulation’s operations team
· Guide on disciplinary action and regulatory sanctions.
· Analyse breaches and recommend regulatory, disciplinary and enforcement outcomes
· Prepare reports of factual findings
· Liaise with other regulators and enforcement bodies.
This role is ideal for a candidate who wishes to gain extensive stakeholder exposure and advance their Compliance and Regulatory experience with the Financial Markets. Ideally the candidate will be a qualified lawyer or accountant, with experience in preparing case reports.
Should you feel that you possess the personal and professional attributes required, please do not hesitate to apply.
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