Senior Supervisor (Advisers, Wealth and Pensions)

Requirements of the role

SPC oversees regulated 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 team supervises around 5,000 financial adviser and wealth portfolio management firms.

We focus on working to reduce harm from poor advice, poor investment portfolio management, scams, and financial crime, while promoting consumer protection, sector growth and sustainability, and better outcomes through firm engagement and cross-FCA collaboration.

Role responsibilities

• Work at pace to make sound, well‑reasoned judgements and connect the dots to identify risks early and shape smarter, more effective regulatory decisions
• Developing supervision and risk mitigation strategies, setting clear expectations to firms, directing, persuading and where appropriate, using formal powers to change behaviour to deliver better outcomes for consumers in line with the Consumer Duty
• Reviewing the business models/strategies of firms and identifying how risks could cause harm to consumers and/or markets
• Build effective relationships with senior leaders in firms to enhance regulatory and consumer outcomes
• Play an engaged role in the team as support and mentor to colleagues
• Support cross department and FCA wide initiatives to enhance collaboration and deliver practical, organisation‑wide improvements
• Manage key stakeholder relationships across internal and external partners to build trust, improve communication and accelerate delivery of shared goals

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