Lead Investment Platforms Supervisor - Regulatory
Lead Investment Platforms Supervisor - Regulatory
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Job Description
Title - Lead Investment Platforms Supervisor - Regulatory
Department IPSO - Investment Platform and SIPP Operators
Salary - National (Edinburgh and Leeds) ranging from 59100 to 74950 and London 64900 to 82300 per annum (Salary offered will be based on skills and experience
About the FCA
The FCA regulates the conduct of 45000 firms in the UK to ensure our financial markets are honest fair and competitive. Follow this link to find out more About the FCA.
We are recruiting for a Lead Supervisor to work in the Investment Platforms in the Investment Platform and SIPP Operator (IPSO) department within Supervision.
IPSO sits within Consumer Investments Directorate at the Financial Conduct Authority. The Directorate has a key role in the regulation and supervision of consumer investment firms with the objective of preventing consumer harm. The Consumer Investment Directorate works to ensure that consumers can make effective investment decision and get a fair deal. The vision is that consumers can:
- Investwith confidence understanding the risks they are taking and the regulatory protections provided
- Access&identify investments that suit their circumstances and attitude to risk
- Beprotected fromscams
- Beable to get advice or support to invest should they want it
Achieving this directly impacts the standard of living of millions and is of growing and critical importance to the British economy. You will be responsible for supporting the Investment Platforms team by leading on key strategic portfolio workstreams and supporting management with the development of team members including covering line management responsibilities when necessary. We have recently increased the size of our portfolio. A key responsibility will be leading on and implementing a strategy for these firms.
What will you be doing
- Leading on key strategic portfolio workstreams and managing complex case work in the team having or developing an understanding of the FCAs approach to supervision and the regulations applicable to Investment Platforms
- You will be responsible for drafting papers (such as committee papers and briefings) as well as working with other key internal stakeholders to review and shape the Investment Platforms supervisory strategy. You will provide advice and guidance to the team including recommendations on how to progress complex case work including whistleblowing cases
- The role requires liaison with both internal and external stakeholders including Financial Services Compensation Scheme Financial Ombudsman Service trade bodies as well as overseas regulators
- The department is committed to continuous improvement. Alongside your peers you will be responsible for identifying areas where we need to improve and make changes and implementing that change. Depending on what needs arise you will be asked to undertake complex assignments requiring your expertise for example on new market wide guidance Consultation Papers and reviewing Policy Statements.
What will you get from the role
- You will hone your market knowledge and will lead on the key pillars of the Investment Platforms team strategy
- You will broaden your contacts and raise your profile internally and externally
- You will improve your supervisory analytical and problem-solving skills
- You will sharpen your presentation skills when you represent the department and in more senior forums
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
- Prior experience of applying FCA regulation to complex real-life situations and complex models
- Previous experience of managing relationships with senior stakeholders both internally and externally
- Prior experience and expertise in Investment Platforms
Essential
- Good attention to detail and strong analytical and verbal reasoning skills
- Evidence of strong written communication skills
- Ability to maintain focus and high standards whilst working under pressure
- Highly effective influencing skills including delivering difficult messages
- Strong organisational skills with the proven ability to prioritise work and escalate issues
- A positive attitude to dealing with external parties with a commitment to exceed external parties expectations
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 cant 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: Sunday 29th June - midnight
- CV Review/Shortlist: Thursday 4th July
- First Round Interview: W/C 14th July
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:
Applications must be submitted through our online portal. Applications sent via email will not be accepted.
Required Experience:
Manager
Employment Type
Full-Time
