Corporate Compliance and Thematic Lead

Corporate Compliance and Thematic Lead

Division: Enforcement & Market Oversight

Salary: National (Edinburgh and Leeds) ranging from £59,100 to £73,700 and London from £64,900 to £85,000 per annum (salary offered will be based on skills and experience).

About the FCA

The FCA regulates the conduct of 45,000 firms in the UK to ensure our financial markets are honest, fair and competitive. Follow this link to find out more About the FCA

The Corporate Compliance and Thematic (CCT) team in the Primary Market Oversight (PMO) Department is focused on raising levels of compliance of listed companies with the evolving set of rules which make up the UK Listing Regime, using a range of tools and techniques including proactive detection of potential misconduct and thematic reviews.

This is an exciting opportunity to join a team that plays a crucial role in evaluating compliance with the evolving UK listing regime. The focus is currently on new and existing sustainability reporting, listing, and transparency rules, as well as aspects of the UK listing framework that are not routinely covered by the department’s surveillance work.

What you will be doing?

• Form part of the CCT leadership team and will be directly involved in setting CCT’s overall strategy, contributing your experience and insights of the UK listing regime and sustainability reporting to discussions around planning and the team’s strategic direction

• Have full line management responsibility for up to 2 associates providing day to day support and oversight of their work, setting objectives, managing performance and career development including supporting them through any formal qualifications. You will coach and provide practical guidance to new and less experienced members of the team on all aspects of their compliance case work and thematic reviews to ensure the overall quality of their work and speed of delivery

• Lead relationships with certain high profile external stakeholders in accordance with the team’s relationship management strategy

• Lead some of the team’s more complex and technical proactive thematic reviews and early intervention case work

• Be responsible for a number of strategic and horizon scanning workstreams, driving continuous improvement and efficiency across all aspects of CCT activities, in particular the development of the team’s thematic review pipeline, management information and data strategy

What will you get from the role?

This is a unique opportunity to step into a dynamic and challenging role within a team at the forefront of the FCA’s transformation and sustainability efforts. Positioned at the heart of London’s corporate finance and capital markets, this role plays a direct role in safeguarding market integrity. Specifically, you will:

• Further develop your professional and people skills in a demanding role

• Oversee a varied portfolio of interesting thematic review projects and casework and get the responsibility to develop it

• Engage at a senior level with a wide variety of internal and external stakeholders, including some of the UK’s biggest companies and FCA senior management

• Work in a friendly and collegiate environment which values co-operation, career development and enjoyment

• Have a key role to play in ensuring we are able to deliver both PMO and MO’s objectives and vision. This will include participating in the establishment of priorities, proactively identifying risks, participating in the evolution of the policy framework, and assisting in the delivery of our people strategy

Which skills are required?

We are a Disability Confident Employer; therefore, disabled people or individuals with long-term conditions who best meet the minimum criteria for a role will go through to the next stage of the recruitment process. (To learn more about the Disability Confident Scheme Click Here)

Minimum

• Demonstrated ability to carry out research or project work and prepare reports for external publication aimed at investors, listed companies, or advisers

• A strong track record of managing high profile relationships with internal and external stakeholders

Essential

• Recent experience of the FCA’s work as a securities regulator and the regulatory framework of directives, principles, rules, and guidance relevant to listed companies and their ongoing disclosure obligations

• Strong interest in sustainability reporting including climate change

• Excellent communication skills including the ability to write compliance letters explaining complex issues succinctly and with clarity, in written English

• Recent experience of delivering credible and persuasive oral presentations to internal and external audiences with effective use of visual aids

• Experience in the identification and interpretation of themes or patterns in underlying information or data

• Organisational ability – can show capability to manage a variety of tasks and issues, prioritising appropriately and escalating where necessary

• Attention to detail – can evidence taking pride in work and ensuring it is of the highest standard

Our Values & Diversity

We are proud to be an inclusive employer and our ambition is to cultivate a culture for all employees that respects their individual strengths, views, and experiences. 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.

Within the workplace you will have access to various employee resource groups which aim to promote and achieve a healthy work / life balance and support our

diversity ambitions.

Did you know? 50% of our Executive Committee were the first in their family to attend university.

Benefits of working at the FCA

• 25 days holiday per year plus bank holidays

• Hybrid working (work from home up to 60% of your time)

• Private healthcare with Bupa  

• A non-contributory Pension of at least 8% of basic salary each month (there are several contribution levels that increase depending on your age – up to 12% a month once you reach age 35)  

• Life assurance of eight times your basic salary  

• Income protection  

We also have a competitive flexible benefits scheme which gives you the opportunity to create a personalised benefits package, tailored to suit your lifestyle.

We welcome applications from candidates who are looking for flexible arrangements.  Many of our staff work flexibly including working part-time, staggered hours, and job shares.  We can’t promise to give you exactly what you want but we can explore what might work best for both sides.

Follow this link to see what life is like at the FCA - Life at the FCA

Application Support

We are dedicated to removing barriers and ensuring our application process is accessible to everyone. We offer a range of adjustments to make your application experience as comfortable and straightforward as possible.

If you have an accessibility need, disability, or condition requiring changes to the recruitment process, please contact your recruiter using the details below and they will be happy to discuss this further with you.

Useful Information and Timeline

• This role is graded as Lead Associate – regulatory

• Advert Closing Date:  6th July (midnight)

• CV Review/Shortlist: 7th-8th July

• Interview: w/c 14 July (subject to availability)

Please note that the successful candidate must either currently hold or will be required to obtain Security Clearance (SC) level vetting.

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. 

Got a question?

If you are interested in learning more about the role, please contact: [email protected]

Applications must be submitted through our online portal. Applications sent via email will not be accepted.