Senior Supervisor – Corporate Finance Firms

Requirements of the role

About the FCA and team 

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 Infrastructure & Exchanges directorate, the MI Trading Venues & Corporate Finance Firms Department integrates the supervision of key market infrastructure and corporate finance firms with the development of policy frameworks for trading venues, aiming to promote fair, orderly, and transparent markets across a broad range of asset classes and venue types. The Corporate Finance Firms team supervises around 440 firms that advise on corporate transactions including the raising of capital from wholesale and retail investors.

Role responsibilities: 

• Guide and prioritise team efforts to ensure resources are focused on high-impact supervisory work.
• Support colleagues, fostering a collaborative team culture.
• Assess firm strategies and risks, using data insights to protect consumers and market integrity.
• Shape and deliver supervision strategies that drive meaningful change and regulatory outcomes.
• Engage directly with firms, setting clear expectations and using influence or powers to improve behaviours.
• Collaborate and escalate, working with internal stakeholders and senior management to resolve issues effectively.

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