Supervisor

Description:

We are recruiting for an exciting role within the team responsible for supervising Corporate Finance Firms, at the Senior Associate level.

Corporate Finance Firms play a crucial role in the UK economy acting as advisors to small and medium sized companies seeking access to capital, included companies trading on the London Stock Exchange AIM market or the Aquis Stock Exchange markets. The provision of advice to corporates can be in relation to fundraising from predominantly institutional investors through IPOs, secondary issues, loans and private equity, and on other corporate transactions such as mergers and acquisitions, disposals and restructurings.

Through our work supervising Corporate Finance Firms, we aim to advance our operational objectives of protecting consumers, ensuring market integrity, and promoting effective competition.

As a Senior Associate, you will work with others as part of a team to advance our supervisory priorities for a portfolio of Corporate Finance Firms. You will directly supervise firms, receive exposure to diverse issues, engage with senior management across both the FCA and regulated firms, and work in a stimulating and high-energy environment.

Your work will often involve liaising closely with specialist areas including teams who supervise our client assets regime and financial crime risks, monitor for market abuse, and assess financial and operational resilience. The team also regularly work with colleagues across our Authorisations and Enforcement divisions.

Responsibilities Will Include

• Direct engagement with regulated firms to improve our understanding of firm specific issues and the markets they operate within.
• Applying regulatory knowledge and experience to analyse complex information, make judgements about appropriate action to advance our objectives and implement recommendations to address specific firm or cross-firm issues.
• Performing analysis on the cross-firm risks within the portfolio to help set and implement the team's supervisory strategy.
• Drafting and delivering high-quality communications to deliver key messages internally to stakeholders, as well as externally to firms as needed.
• Building, maintaining and leveraging relationships with key stakeholders in order to influence and deliver through others inside and outside of the team as needed.

The role will suit ambitious individuals who are looking for an opportunity to make a difference through the front-line supervision of an important portfolio of firms. You will gain in-depth experience of wholesale financial markets and market participants. You will work with supportive and collaborative colleagues in an environment of continuous learning and development.

This is an exciting time to join the FCA. Our goals are to make markets work better and to stop and prevent serious misconduct that leads to harm. The organisation is transforming to achieve these goals – investing in new technology and making better use of data, supporting our people and changing our culture.

Skills/Experience Required

We're a signatory to the Government's Disability Confident scheme. This means that we guarantee an interview to any disabled candidates entering under the scheme, should they meet the minimum criteria for a role. A minimum criterion needs to be measurable from reviewing a candidates CV.

Minimum

• Experience of working in wholesale markets, or
• Knowledge of the FCA’s supervisory framework