Senior Wholesale Brokers Supervisor

Financial Conduct Authority

Regulating financial services firms and financial markets in the UK, https://www.fca.org.uk/careers

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.

Role Responsibilities

• Develop and deliver supervisory strategies across a portfolio of wholesale broker firms, aligning activities with regulatory priorities
• Develop and oversee supervisory workstreams from inception to completion, securing senior stakeholder agreement and driving successful execution
• Conduct thematic and multi-firm reviews to assess firms’ governance, risk management frameworks, and operational resilience arrangements
• Directly supervise a portfolio of firms, taking ownership of complex supervisory cases, decisions, and regulatory interventions
• Assess and address issues relating to financial crime, market abuse, conduct risk, prudential resilience, and regulatory compliance
• Identify, investigate, and manage significant supervisory concerns, including serious misconduct allegations, business model risks, and potential firm failures.
• Build and maintain effective relationships with senior leaders at regulated firms to motivate, engage with, and support positive regulatory outcomes and also internal specialists across Policy, Market Monitoring, Prudential Supervision, Operational Risk, Financial Crime, Enforcement, and Legal teams
• Support the development of supervision strategies for colleagues’ portfolios, contributing specialist knowledge and regulatory insight.