Senior Associate – 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.

The Buyside Directorate oversees the FCA’s work on all types of asset managers and their funds, as well as Custody Service Providers. Within this, the Sector Team plays a vital role in developing market intelligence and overseeing strategic supervisory work in response to identified risks within the portfolio.

The team guides the risk process for departmental portfolios, playing a key role in identifying market trends and issues that may impact the FCA’s priorities. It provides technical expertise on asset management issues across the FCA and where required, serves as the primary contact for cross-FCA initiatives in policy, market dynamics, innovation and specialist supervision departments (such as financial resilience and CASS). The team contributes to domestic and international policy discussions and working groups. Additionally, it coordinates the data strategy for the Directorate.

What will you be doing?

Contribute to the execution of the portfolio strategy process, the portfolio risk process and the risk of harm mitigation workstreams that result and demonstrate how this work has led to good outcomes

Gather and analyse the necessary intelligence and data to inform our understanding of the risks and the opportunities facing the Buyside sector

Demonstrate an understanding of the broader asset management sector and associated distribution channels with an understanding of macro-economic, trading and operational environment and trends impacting the business model of our directorate’s firms

Identify, prioritise and monitor emerging directorate risks and contribute to department wide risk meetings (e.g. the ‘Firm and Fund Forum’)

Provide input to reports, prepare briefing notes, draft speeches and give presentations to internal and external stakeholders

Consider how data can improve our regulatory focus

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