AIM Regulator/Lawyer recruitment
This position will ideally suit someone from a strong accountancy or legal background, with strong analytical skills, who is able to advise and face off to a variety of people, namely Nomads, but also AIM companies and other market participants.
This position will require the chosen individual to have a good understanding of Corporate Finance and/or Capital Markets.
This role will be ideally suited to a private practise lawyer looking for an opportunity to move in house, and a chance to work on the cutting edge of capital markets regulation.
The ideal candidate will have been qualified for 2+ years, and have a keen interest in regulation.
The role will entail reviewing real time data and analysing, documenting and advising on regulatory and legal issues using a number of different methods including:
- Visiting Nomads and conducting file reviews and interviews with Nomad executives to review and explore their conduct and compliance with the AIM rules;
- Advising Nomads on their AIM Rules compliance;
- Reviewing Nomad Annual Returns and advising on eligibility;
- Vetting applications from prospective new Nomads and new Qualified Executives.
- Bring full 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
- Undertaking research and providing input as required on team projects or policy matters
- Investigating rule breaches and complaints, together with the Investigations and Enforcement part of the team.
The position will ideally suit someone who is able to demonstrate confidence in dealing with external stakeholders.
For more information, please call Stuart Vines for more details.