Lead Associate

3 weeks ago

London, United Kingdom Financial Conduct Authority Full time

We are recruiting for a talented Lead Associate supervisor in the Market Infrastructure Trading Venues Department. This role is 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 department is responsible for the supervision of:
- 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.

We use a range of tools to carry out our supervision, from proactive engagement with firms to market-wide work on themes spanning the wholesale markets sector.

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 are the key responsibilities?

As a Lead Associate of Recognised Investment Exchange you will:
- You will lead our core supervision effort and directly supervise a Recognised Investment Exchange - you will need to foster excellent working relationships with them at senior levels, demonstrate clear insight of current and emerging risks stemming from their business model and understand firm specific issues and the markets they operate within- Have task management responsibility for one or two other supervisors to help design, develop and deliver our supervision strategy for a Recognised Investment Exchange.- Ensure our supervision strategy is forward looking and places appropriate emphasis on the business model, culture and governance of the firm in alignment with FCA objectives-
- You will be expected to provide support and guidance to team members and have task management responsibility to help supervisors develop a consistent FCA response to issues identified across the Trading Venues portfolios.- Your work will often involve liaising closely with external stakeholders such as EU and UK regulators as well as internal stakeholders e.g. FCA supervisors of other relevant portfolios, specialist areas including teams who monitor for market abuse, assess financial and operational resilience, and supervise financial crime risks. You will also work regularly with colleagues across Enforcement, Markets Policy, International and Legal divisions.- You will work with Policy colleagues to help develop the framework of rules and powers within which Trading Venues operate, such that our regulatory toolkit offers effective support to our supervision- You will need to draft high-quality written communications to deliver key messages internally to stakeholders, as well as externally to firms as needed

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, supporting our people, and changing our culture.

This role is an excellent opportunity to understand and shape the workings of the financial sector and wholesale markets at a time of considerable change. You will contribute to the FCA’s work on wholesale markets and Trading Venues in a high-profile way.

Skills/Experience Required

Minimum- Proven experience of the operation and business models of Trading Venues and the regulatory framework within which they operate, gained either through working for a venue or other relevant wholesale markets experience- Experience in leading or task/project managing others

Essential- Sound analysis and judgement - an ability to make clear and timely decisions and recommendations b

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