Corporate Compliance and Thematic Lead

Requirements of the role

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.

What you will be doing (the role)

As Lead Associate you will:

• Be part of a team that is responsible for assessing levels of compliance with the evolving UK listing regime, with a current emphasis on new and existing Environmental, Social and Governance (ESG) listing and transparency rules, as well as with areas of the UK listing regime not routinely subject to the department’s surveillance work
• 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 ESG 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

What will you get from the role?

This is an exciting opportunity to take on an interesting and demanding role in a team that’s at the forefront of the FCA’s transformation and ESG work. The role is right at the heart of London’s corporate finance and capital markets and focused directly on market integrity. Specifically, you will:

• Further develop your professional and people skills in a demanding role
• Oversee a varied portfolio of interesting thematic review projects and casework and get the responsibility to develop it
• Engage at a senior level with a wide variety of internal and external stakeholders, including some of the UK’s biggest companies and FCA senior management
• Work in a friendly and collegiate environment which values co-operation, career development and enjoyment
• Have a key role to play in ensuring we are able to deliver both PMO and MO’s objectives and vision. This will include participating in the establishment of priorities, proactively identifying risks, participating in the evolution of the policy framework, and assisting in the delivery of our people strategy

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