Lead Supervisor - Advisers, Wealth and Pensions Team

Job title: Lead Supervisor - Advisers, Wealth and Pensions Team

Division: Supervision, Policy and Competition
Department: Advisers, Wealth and Pensions (AWP)

• Salary: National (Edinburgh and Leeds) ranging from £59,100 to £69,666 and London from £64,900 to £76,500 per annum (salary offered will be based on skills and experience)

• This role is graded as: Lead 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 financial services in the UK.  

SPC oversees regulated 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 AWP Department supervises around 5,000 financial adviser and wealth portfolio management firms.

We focus on working to reduce harm from poor advice, poor investment portfolio management, scams, and financial crime, while promoting consumer protection, sector growth and sustainability, and better outcomes through firm engagement and cross-FCA collaboration.

Role responsibilities

• Supporting the manager with the running of the team and being involved in cross-department initiatives

• Line management responsibility for at least 1 colleague and providing support and developing other colleagues in the department

• Contributing to delivery of our regulatory priorities in the Consumer Investments market which includes building a stronger investment culture, strengthening trust, securing good customer outcomes and strengthening financial crime controls

• Developing supervision and mitigation strategies, setting clear expectations to firms, influencing, persuading and where appropriate, using formal powers to change conduct behaviour to deliver better outcomes for consumers in line with the Consumer Duty

• Analysing the business models/strategies of firms and identifying how conduct risks could cause harm to consumers and/or markets  

• Developing constructive working relationships with senior management in firms and a range of stakeholders across the FCA

Skills required

Minimum:

• Experience in the wealth management, financial advice sector at a regulated firm, consultancy or regulatory body

• Prior experience of delivering and overseeing delivery of a significant project

• Demonstratable experience of supporting, developing and coaching colleagues, alongside engaging with individuals at a senior level, including managing challenging conversations and influencing behaviour and outcomes

Essential:

• Building effective working relationships to support the delivery of supervisory outcomes, flexing your style to build consensus and influence a range of diverse stakeholders

• Taking ownership of problems and drive forward pragmatic action-based solutions

• Effectively manage priorities, which may change at short notice and be able to adapt to change

• Ability to influence and negotiate while maintaining the integrity of the issues that need to be conveyed

• External communications, speech writing experience or project management skills

Benefits

• 25 days annual leave plus bank holidays

• Hybrid model with up to 60% remote working

• 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 is free from discrimination and bias, celebrates difference, and supports colleagues in delivering 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 smarter 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: 6th April (11:59pm)

• CV Review/Shortlist: 8th – 10th April

• Case study and Interview: w/c 13th and 20th April

• This is a permanent role

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.