Lead Investment Platforms Supervisor – Regulatory

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.

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:

Invest with confidence, understanding the risks they are taking, and the regulatory protections provided
Access & identify investments that suit their circumstances and attitude to risk
Be protected from scams
Be able 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 FCA’s 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.

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