Wholesale Supervision Associate

3 weeks ago

London, United Kingdom Financial Conduct Authority Full time

We are recruiting for a number of exciting roles in the Market Infrastructure Trading Venues Department at Associate level. These roles are being advertised on a permanent basis.

The Market Infrastructure Trading Venues Department supervises key elements of the UK financial markets ecosystem including market infrastructure providers such as Recognised Investment Exchanges (RIEs), Recognised Overseas Investment Exchanges (ROIEs), Multilateral Trading Facilities (MTFs) and Organised Trading Facilities (OTFs) - collectively referred to as Trading Venues. Through our work we aim to advance market integrity, investor protection and effective competition in the interests of consumers.

The teams we are currently recruiting for are responsible for regulating the following types of firms:
- Investment exchanges offering markets in a variety of financial instruments including equities, derivatives and commodities. This portfolio includes the major UK exchanges such as the London Stock Exchange, London Metal Exchange and ICE Futures Europe, as well as a growing number of overseas exchanges operating in the UK. Our work encompasses all aspects of the initial recognition and continuing supervision of the exchanges, according to specialist obligations that aim to deliver fair, orderly, and resilient markets- Multilateral Trading Facilities and Organised Trading Facilities offering markets in equities, derivatives and commodities. Our work encompasses aspects of the initial authorisation and continuing supervision of the trading venues, according to specialist obligations that aim to deliver fair, orderly, and resilient markets

The department sits within the FCA’s largest division - Supervision, Policy and Competition (SPC). SPC plays an important role within the FCA, helping to address the potential for harm to consumers, markets and firms, set the rules for the behaviour of regulated firms, and identifies and diagnoses where lack of effective competition leads to markets not working well for consumers.

What does the role involve? What are the key responsibilities?

As an Associate, you will work with others as part of a team to advance our supervisory priorities for these Trading Venue firms. With colleagues you will use your relationship management skills to supervise the firms and will receive exposure to diverse issues across the FCA and with regulated firms. You will use your analytical skills to identify risk in the business models and strategies of the firms in our remit. If you have an interest of, or experience within, wholesale markets combined with excellent communication skills, this could be the job for you

Your work will often involve liaising closely with specialist areas including teams who monitor for market abuse, assess financial and operational resilience, and supervise financial crime risks. The teams also regularly work with colleagues across Authorisations, Enforcement, Markets Policy, International and Legal divisions.- Engaging with regulated firms and managing the FCA response to issues relating to the firms we supervise- Drafting high quality responses to firms to deliver key messages clearly and concisely- Assisting on projects and visits to firms - this typically involves talking to market participants, report writing and presenting findings to stakeholders- Analysing the business models/strategies of the firms and identifying risks within them- Supporting the formulation of the FCA strategy for supervising Trading Venues by helping identify and analyse the key risks within the portfolio and implementing the team's supervisory strategy to mitigate these risks-
- Collaborating and building strong working relationships with internal and external stakeholders (for example, Policy, Market Monitoring, Operational Risk, Prudential, Financial Crime Supervision, CASS, Enforcement and GCD colleagues) who can support the delivery of the supervision strategies on a wide variety of issues-
- Escalating material issues as appropriate, including proposing appropriate, outcome focused solutions to team members and managers

These roles will suit capable individuals with a “can-do” attitude who are looking for an opportunity to make a difference through the front-line supervision of important portfolios of market infrastructure firms. You will gain:
- Experience of wholesale financial markets, Trading Venues and their participants-
- A challenging, interesting and varied portfolio of work, working with colleagues from across the department and other parts of the FCA- You will work with supportive and collaborative colleagues in an environment of continuous learning and development.

This is an exciting time to join the Market Infrastructure Trading Venues Department and FCA. Our goals are to make markets work better and to stop and prevent serious misconduct that leads to harm. The organisation is transforming to achieve these goals - investing in new technology and making better use of data, sup

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