Consumer Investment Senior Supervisor, Proactive Team

Job title: Consumer Investment Senior Supervisor, Proactive Team
Division: Supervision, Policy and Competition (SPC)
Department: Retail Investments, Platforms and Proactive Supervision (RIPPS)

• Salary: National (Edinburgh and Leeds) ranging from £52,400 to £65,500 and London from £57,700 to £72,000 (salary offered will be based on skills and experience)

• This role is graded as: Senior Associate, Regulatory

• Your recruitment contact is Shafika via [email protected]. Applications must be submitted through our online portal. Applications sent via social media or email will not be accepted.

About the FCA and team
 

We regulate financial services firms in the UK, to keep financial markets fair, thriving and effective. By joining us, you’ll play a key part in protecting consumers, driving economic growth, and shaping the future of UK finance services.  

SPC oversees firms and individuals (supervision), creates and reviews the rules by which they operate (policy) and identifies and remedies ineffective competition in markets (competition). Sitting in the Consumer Investments (CI) directorate, the team leads multi-firm reviews across six portfolios focused on financial advisers, wealth managers, investment platforms, self-invested personal pension operators, crowdfunders and peer to peer lenders. The team’s work involves identifying emerging consumer investment issues or may be targeted to address specific risks within the portfolios.

Role responsibilities

• Taking on key workstreams on larger and more complex multi-firm projects with support to ensure work is delivered at pace to demanding deadlines

• Conducting proactive reviews and thematic analysis into the most significant areas of harm across the CI portfolios

• Participating in team discussions and collective problem solving, to help make appropriate supervisory decisions

• Contributing to the development of assessment strategies and frameworks to ensure robust evaluation of issues across multiple firms

• Delivering assertive supervision which includes setting clear expectations to firms and using formal powers, where appropriate, to make changes and deliver better outcomes for consumers

• Drafting internal papers and presentations as well as letters to firms, publications and other industry communications

Skills required

Minimum:

• Proven experience in UK financial services across regulation, consultancy, audit or compliance

• Prior experience in leading regulatory projects, investigations or reviews

• Demonstratable experience in writing documents for different audiences, including to inform decision making by senior stakeholders

Essential:

• Strong analytical skills and good attention to detail with ability to digest large amounts of information or data, identify relevant issues and present insights clearly with the ability to make well-reasoned judgement calls

• Experience of written and verbal communication with ability to give clear, succinct and well-considered messages

• Strong organisational skills with ability to work independently, prioritise work, report on progress and escalate issues as appropriate

• A team player who has an inclusive and collaborative approach with ability to work effectively with others, including managing and supporting relationships with internal and external stakeholders

• Familiarity of FCA supervisory tools and powers with ability to consider how we use our tools and powers to support mitigation action

• Knowledge of one or more of the CI portfolios, including awareness of the wider external environment firms operate in and how this may influence their behaviour

Benefits

• 25 days annual leave plus bank holidays

• Hybrid model with up to 60% remote work

• Non-contributory pension (8–12% depending on age) and life assurance at eight times your salary

• Private healthcare with Bupa, income protection, and 24/7 Employee Assistance

• 35 hours of paid volunteering annually

• A flexible benefits scheme designed around your lifestyle

For a full list of our benefits, and our recruitment process as a whole visit our benefits page.

Our values and culture

Our colleagues are the key to our success as a regulator. We are committed to fostering a diverse and inclusive culture: one that’s free from discrimination and bias, celebrates difference, and supports colleagues to deliver at their best. We believe that our differences and similarities enable us to be a better organisation – one that makes better decisions, drives innovation, and delivers better regulation.

If you require any adjustments due to a disability or condition, your recruiter is here to help - reach out for tailored support.

We welcome diverse working styles and aim to find flexible solutions that suit both the role and individual needs, including options like part-time and job sharing where applicable.
 

Disability Confident: our hiring approach
We’re proud to be a Disability Confident Employer, and therefore, people or individuals with disabilities and long-term conditions who best meet the minimum criteria for a role will go through to the next stage of the recruitment process. In cases of high application volumes, we may progress applicants whose experience most closely matches the role’s key requirements.
 

Useful information and timeline

• Job advert close: w/c 7th December

• CV Review/Shortlist: 9th December

• First Interview: w/c 15th December  

• Your Recruiter will discuss the process in detail with you during screening for the role, therefore, please make them aware if you are going to be unavailable for any date during this time.