Senior Wholesale Brokers Supervisor

Job title: Senior Wholesale Brokers Supervisor
Division: Supervision Policy and Competition
Department: Sell-Side

• Salary: National (Edinburgh and Leeds) ranging from 53800 to 62700 and London 59200 to 69000 per annum (Salary offered will be based on skills and experience)

• This role is graded as: Senior Associate Regulatory

• Your external recruitment contact is Shafika via

• Your internal recruitment contact is

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 youll 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). The Sell-Side Directorate oversees wholesale banks intermediaries market infrastructure and exchanges ensuring fair transparent and resilient wholesale markets that support the effective functioning of the UKs financial system.

Role responsibilities

• Develop and deliver supervisory strategies across a portfolio of wholesale broker firms aligning activities with regulatory priorities

• Develop and oversee supervisory workstreams from inception to completion securing senior stakeholder agreement and driving successful execution

• Conduct thematic and multi-firm reviews to assess firms governance risk management frameworks and operational resilience arrangements

• Directly supervise a portfolio of firms taking ownership of complex supervisory cases decisions and regulatory interventions

• Assess and address issues relating to financial crime market abuse conduct risk prudential resilience and regulatory compliance

• Identify investigate and manage significant supervisory concerns including serious misconduct allegations business model risks and potential firm failures.

• Build and maintain effective relationships with senior leaders at regulated firms to motivate engage with and support positive regulatory outcomes and also internal specialists across Policy Market Monitoring Prudential Supervision Operational Risk Financial Crime Enforcement and Legal teams

• Support the development of supervision strategies for colleagues portfolios contributing specialist knowledge and regulatory insight.

Skills required

Minimum:

• Prior experience of wholesale financial markets and regulation

• Prior experience exercising judgement in complex situations

• Prior experience in a role which has required strong written communication skills

Essential:

• Knowledge of wholesale brokers their business models and conduct risks arising from them as well as of wholesale markets more generally

• The ability to assess complex information and form strong judgements

• Good awareness of the UK regulatory framework

• The ability to communicate with impact and influence at senior levels (in both verbal and written form)

• The ability to engage with a variety of internal and external stakeholders

Benefits

• 25 days annual leave plus bank holidays

• Non-contributory pension (812% 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

• Colleagues spend a minimum of 50% of their working time in the office each month (60% for Directors and Executive Directors) across our London Leeds and Edinburgh offices

• 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 and culture

Our colleagues are the key to our success as a regulator. We are committed to fostering a diverse and inclusive culture: one thats 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

Were 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 cases of high application volumes we may progress applicants whose experience most closely matches the roles key requirements.

Useful information and timelines

• Advert Close Date: 16th September 2026

• CV Review/Shortlist: 18th September 2026

• First Interview: W/C 28th September 2026

• 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