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 Adviser and Investment Intermediary Team in Consumer Investments is focussed on working with the firms we supervise to reduce harm arising from retirement income advice, ongoing advice services and consolidation. The team supervises firms of all sizes from sole traders to large advice networks and vertical integrated high street names. There are also niche non-advised services, investment consultancy services to retail consumers/ corporates, and authorised professional firms (e.g. solicitors).

More information on our strategy for the next two years below:

https://www.fca.org.uk/news/speeches/its-good-be-different-new-fca-supervisory-strategy-financial-advice-sector

https://www.fca.org.uk/publication/correspondence/portfolio-letter-advisers-intermediaries-2024.pdf

What you will be doing?

• Leading and supporting supervision strategies in relation to Consumer Duty
• Working in a complex, high profile, portfolio, supervising a sector that services over 3 million customers with potential to make a positive impact for consumers who use financial advisers
• Contributing to the development and progression of colleagues within the team and department

What will you get from the role?

• Obtaining a unique insight into the workings of firms across the sector and getting the opportunity to influence firms' senior management and behaviour
• Engaging with senior stakeholders across the FCA approach that includes prudential, insolvency, and enforcement teams

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)

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Minimum

• Experience in the financial adviser sector or regulatory, consultancy or compliance related role within financial services
• Experience of analysing data to identify trends, risks, key issues and presenting the results to a senior audience
• Demonstrable experience in directing, coaching, or managing teams, including supporting and developing colleagues

Essential

• Build effective working relationships, flexing your style to build consensus and influence a range of diverse stakeholders
• Take 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
• A sound understanding of the Consumer Investments sector (or willingness to learn): including some knowledge of retail investment products and services, and the key risks posed by firms in the sector

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 ExCo are women (4 in 8)

The FCA is committed to achieving greater diversity across all levels of the organisation. Given this, we particularly welcome applications from women, minority ethnic, disabled, and neurodivergent candidates for our Lead Associate - Regulatory role.

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%
• Life assurance
• Income protection