Job Title: Senior Supervisor, Advisers, Wealth and Pensions (AWP) Team
Division: Supervision, Policy & Competition (SPC)
Department: Consumer Investments (CI)
- Salary: National (Edinburgh and Leeds) ranging from £53,800 to £62,733 and London £59,200 to £69,000 (salary offered will be based on skills and experience)
- This role is graded as: Senior Associate – Regulatory
- Your external recruitment contact is Steve Christopher via steve.christopher@fca.org.uk.
- Your internal recruitment contact is Isabelle Groves via isabelle.groves@fca.org.uk.
- 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 team 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
- Work at pace to make sound, well-reasoned judgements and connect the dots to identify risks early and shape smarter, more effective regulatory decisions
- Develop supervision and risk mitigation strategies, setting clear expectations to firms, directing, persuading and where appropriate, using formal powers to change behaviour to deliver better outcomes for consumers in line with the Consumer Duty
- Review the business models/strategies of firms and identify how risks could cause harm to consumers and/or markets
- Build effective relationships with senior leaders in firms to enhance regulatory and consumer outcomes
- Play an engaged role in the team as support and mentor to colleagues
- Support cross department and FCA wide initiatives to enhance collaboration and deliver practical, organisational-wide improvements
- Manage key stakeholder relationships across internal and external partners to build trust, improve communication and accelerate delivery of shared goals
Minimum Skills Required
- Prior experience in financial advice, wealth management and investment intermediary sectors, or within a regulatory or consultancy environment
- Prior experience delivering high quality written communications to a professional standard for both internal and external stakeholders
- Demonstrable experience designing and implementing robust strategies and of making timely, risk-based decisions supported by clear analysis and strong justification
Essential
- Ability to build effective working relationships to support the delivery of supervisory outcomes, flexing your style to build consensus and persuade a range of diverse stakeholders
- Ownership of problems and implement pragmatic action-based solutions
- Effectively manages priorities within SLAs while remaining adaptable to unexpected changes
- Ability to influence and negotiate while maintaining the integrity of the issues that need to be conveyed
Benefits
- 25 days annual leave plus bank holidays
- Hybrid model where employees work a minimum of 40% in the office each month (expectation of 50% for senior leaders). Changing from September to a minimum of 50% in the office each month (expectation of 60% for Directors and Executive Directors)
- 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
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