Corporate Compliance and Thematic Lead

Requirements of the role

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 Corporate Compliance and Thematic (CCT) team in the Primary Market Oversight (PMO) Department is focused on raising levels of compliance of listed companies with the evolving set of rules which make up the UK Listing Regime, using a range of tools and techniques including proactive detection of potential misconduct and thematic reviews.

This is an exciting opportunity to join a team that plays a crucial role in evaluating compliance with the evolving UK listing regime. The focus is currently on new and existing sustainability reporting, listing, and transparency rules, as well as aspects of the UK listing framework that are not routinely covered by the department’s surveillance work.

What you will be doing?

Form part of the CCT leadership team and will be directly involved in setting CCT’s overall strategy, contributing your experience and insights of the UK listing regime and sustainability reporting to discussions around planning and the team’s strategic direction

Have full line management responsibility for up to 2 associates providing day to day support and oversight of their work, setting objectives, managing performance and career development including supporting them through any formal qualifications. You will coach and provide practical guidance to new and less experienced members of the team on all aspects of their compliance case work and thematic reviews to ensure the overall quality of their work and speed of delivery

Lead relationships with certain high profile external stakeholders in accordance with the team’s relationship management strategy

Lead some of the team’s more complex and technical proactive thematic reviews and early intervention case work

Be responsible for a number of strategic and horizon scanning workstreams, driving continuous improvement and efficiency across all aspects of CCT activities, in particular the development of the team’s thematic review pipeline, management information and data strategy

View on member website