Associates, Supervision, Investment, Wholesale and Specialists Divisio

Resource Solutions - FCA
30000.00 - 60000.00 GBP Annual
18 Oct 2016
25 Oct 2016
Contract Type
Full Time

There are few jobs where you can make a real difference to the 2 million people who work in the UK Financial Services industry, the 40 million consumers of financial products and the stability of our economy as a whole.

Our people are integral to our success as an organisation, working alongside industry, visiting firms and speaking to consumers every day as we strive to ensure the FCA is setting the standard for other regulatory bodies across the world.

From regulating Consumer Credit to driving action on Foreign Exchange manipulation or helping strengthen accountability in the banking sector, the FCA is working with the industry to protect consumers, ensure the integrity of the UK financial system and promote fair and effective competition. Our remit has expanded significantly since our creation in 2013, with the number of firms we regulate growing from 23,000 to over 56,000.

We oversee conduct across the full span of the financial sector from global investment banks to high street payday lenders, and we are the largest prudential regulator in Europe. We are now implementing a new strategy that has sharpened our focus to face the regulatory challenges ahead.

The Supervision, Investment, Wholesale and Specialists Division is responsible for the supervision of the producers and distributors of financial products, including: asset managers, life companies, retail distribution platforms and investment banks. It is also the division responsible for the buy side activities of investment managers and the sell side and trading activities of investment banks and markets. It contains centres of excellence that serve both Supervision Divisions.

The division currently spans five market sectors:

  1. Wholesale Banking
  2. Infrastructure and Trading Firms (including exchanges, brokers, HFTs, MTFs)
  3. Investment Management,
  4. Retail Investments (including financial advic
  5. Pensions & Retirement Income.

The specialist centres of excellence in the division are:

  1. Prudential and Technology Resilience (including cyber resilience)
  2. Client Assets
  3. Financial Crime
  4. Event Supervision.

As we work towards achieving our organisational objectives, we are now recruiting for a number of talented Associates.

What does this job involve?

We use a range of supervisory tools (firm, multi firm, thematic) to ensure firms have the interests of their customers (whether wholesale or retail) and the integrity of the market at the heart of how they run their business.

Depending on the department you will be joining, some of your key responsibilities will include:

Exercising judgement and taking responsibility for making good regulatory decisions that further the FCA's objectives;

Exploring, analysing and mitigating identified risks within firms in our sectors through firm specific and cross firm work;

Ensuring firms behave appropriately when detriment arises;

Providing specialist support across the FCA to ensure that client assets are protected, we have a proportionate and risk based approach to firms we prudentially supervise and making sure the industry properly manages its financial crime and technology risks.

Which minimum, essential & desirable skills are required?


Sector, specialist or functional experience: relevant professional qualification/part-qualification or strong working experience of ONE of the following:

1. Sector experience

In one of Wholesale Banking, Infrastructure and Trading Firms (including exchanges, brokers, HFTs, MTFs), Investment Management, Retail Investments (including financial advice) and Pensions & Retirement Income.

2. Specialist experience

In one of the Technology Resilience, Client Assets or Financial Crime specialist areas

3. Functional experience

Evidence of analysing complex information in a financial services or regulatory environment, reaching robust well informed judgements and identifying and presenting relevant issues in a timely and professional manner


  • Understanding of the Financial Services industry;
  • Good degree level qualification/evidence of good academic achievement or equivalent
  • Excellent communication skills both oral and written
  • Teamwork and collaboration
  • Good time management skills
  • Good judgement and the ability to know when to take action
  • Organisational ability
  • Internal & external stakeholder management
  • Willingness to learn and develop


  • Knowledge of the FCAs approach to conduct and prudential supervision: including an understanding of the challenges of conduct supervision;
  • Project Management skills.

What will I get from the role?

You will have a rare opportunity to understand and shape the workings of the financial sector at a time of considerable change. You will enjoy a unique aerial view of the financial services industry, with the opportunity to do meaningful work that makes a real difference.

You will be working with and influence a wide range of industry professionals, both internally and externally to the FCA.

We place great value on the learning and development of all our colleagues. As part of our commitment to you, last year we launched the FCA Academy to make our development offerings more relevant, accessible and easier to navigate. The FCA Academy will support you to achieve professional accreditation or additional qualifications. Wherever you join, you will find a breadth of training designed to help you take your career further.

Additional Information

Applications for these roles will close at midnight Sunday 23rd October 2016.

These roles will be in the REG B/RISK B job families.

The salary range for these roles will be ??30,000 to ??60,000, depending on skills and experience, plus an excellent benefits package.

Selection Process: (could be subject to change).

Stage 1: Online application, please submit your CV and answer the following application question:

Why do you believe that you are suitable for this role? Please ensure that you specifically relate your answer to the criteria listed in the job advert, covering your relevant skills, technical knowledge and competencies. (Max 300 words)

Application Question: Please ensure you submit your response to the above question, applications without the application answer or incomplete responses will not be considered. As part of the online application process, you should submit your CV with the answer to the above application question within the same document.

Stage 2: Screening, your application will then be forwarded to the recruiting managers

Stage 3: Selection & assessment process, this may involve an assessment activity as well as a face to face competency based interview.

If you have any questions about this role please contact by email.

These roles will be based in London, Canary Wharf, with a planned move to Stratford in 2018.

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