Senior Supervisor Wealth Management

Requirements of the role

We regulate financial services firms in the UK, to keep financial markets fair, thriving and effective. By joining us, you’ll 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).

Sitting in the Consumer Investments (CI) directorate, the AWP (Advisers, Wealth and Pensions) department supervises two red-rated portfolios with around 6,000 firms, working to reduce harm from poor advice, scams, and financial crime, while promoting consumer protection, sector sustainability, and better outcomes through regional engagement and cross-team collaboration.

Role responsibilities:

• Shape the future of financial conduct by developing and delivering supervision strategies that directly support Consumer Duty and Financial Crime initiatives
• Drive meaningful change in high-profile, complex portfolios that affect millions of consumers across the UK, ensuring firms act in their customers’ best interests
• Influence senior decision-makers across a diverse range of firms, using your insights to challenge behaviours and improve outcomes at the highest levels
• Collaborate across the FCA with teams in Prudential, Resolution, Financial Crime, and Enforcement, gaining exposure to a wide range of regulatory approaches
• Lead on risk mitigation by setting clear expectations and, where necessary, using formal powers to shift firm conduct and protect consumers
• Build trusted relationships with senior stakeholders in firms, becoming a key voice in shaping their approach to compliance and conduct

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