Lead Supervisor - Corporate Finance Firms
Division: Market Interventions, Infrastructure & Exchanges
Department: Trading Venues & Corporate Finance Firms
Salary: National (Edinburgh and Leeds) ranging from £59,100 to £67,700 and London from £64,900 to £75,000 (salary offered will be based on skills and experience)
This role is graded as: Lead Associate
Your recruitment contact is Riley Fox 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 Infrastructure & Exchanges directorate, the MI Trading Venues & Corporate Finance Firms Department oversees key market infrastructure and around 440 corporate finance firms, while shaping trading venue policy to support fair, orderly, and transparent markets across asset classes.
Role responsibilities:
Guide and prioritise team efforts to ensure resources are focused on high-impact supervisory work.
Manage and develop colleagues, fostering a collaborative and high-performing team culture.
Assess firm strategies and risks, using data insights to protect consumers and market integrity.
Shape and deliver supervision strategies that drive meaningful change and regulatory outcomes.
Engage directly with firms, setting clear expectations and using influence or powers to improve behaviours.
Collaborate and escalate, working with internal stakeholders and senior management to resolve issues effectively.
Skills required:
Minimum:
Proven experience working in either a financial service environment such as firms, legal and consultancy, or other regulatory and government organisations
Proven experience within qualitative and quantitative analysis (including of financial information)
Essential:
Knowledge of wholesale financial markets, in particular, experience in a corporate finance and primary capital markets role in business, compliance or internal audit
Experience in interpreting and questioning information and forming strong, evidence-based judgements, in particular, from complex regulatory investigations, or investigations involving serious fraud or other complex financial crime
Ability to communicate clearly and with assurance (in both verbal and written form)
Experience of managing relationships with internal and external stakeholders
Ability to work collaboratively within a team and independently
Ability to prioritise competing goals and have proven organisation skills
Ability to maintain focus and high standards whilst working under pressure
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 & 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
Timeline:
Advert Close: 9th November
CV Review/Shortlist: 11th November
Case Study: w/c 19th November
Competency Based Interview: w/c 8th 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.
Top Skills
What We Do
We work to ensure financial markets work well for individuals, for businesses and for the economy as a whole.
We do this by:
- regulating the conduct of approximately 50,000 businesses
- prudentially supervising 48,000 firms
- setting specific standards for around 18,000 firms
We were set up on 1 April 2013, taking over conduct and relevant prudential regulation from the Financial Services Authority (FSA).
Our Head Office is based in London, and we work across the UK, from our office in Edinburgh and via colleagues in Belfast and Cardiff.
Firms and individuals must be authorised or registered by us to carry out certain activities. Before we grant authorisation, firms must demonstrate that they meet a range of requirements. We then supervise these firms to make sure they continue to meet our standards and rules after they’re authorised. If firms and individuals fail to meet these standards, we have a range of enforcement powers we can use.
We work alongside the Prudential Regulation Authority (PRA), the prudential regulator of around 1,500 banks, building societies, credit unions, insurers and major investment firms.
