Supervisor - Wealth Management Supervision

3 weeks ago

Edinburgh, United Kingdom Financial Conduct Authority Full time

The Role

We are currently recruiting Supervisors (Senior Associate) in wealth management supervision. We have responsibility for supervising over 500 firms with a range of business models including private banks, discretionary wealth managers, stockbrokers and outsourced service providers. We are particularly focussed on stopping harm that comes from financial crime, fraud and scams, unsuitable advice and disorderly failure, by ensuring consumer interests are central to the firms within the sector.

You will be part of the Advisers, Wealth & Pensions (AWP) Department which sits within the Consumer Investments (CI) Directorate. As a Supervisor you will the opportunity to help deliver our vision across firms that operate in the sector. CI’s vision is that consumers can:

- Invest with confidence and understand the risks they are taking
- Access & identify investments that suit their circumstances and attitude to risk
- Be protected from scams
- Get advice or support to invest, should they want it

Our people are integral to our success. All of our 3,000 plus people are committed to delivering in the interests of consumers and ensuring they receive the good outcomes they should when using financial services in the UK. Working at the FCA feels different to working at many other organisations. The issues our people deal with on a daily basis can often be in the news and have implications for everyone in the UK. This makes working here an incredibly satisfying role. For many, this sense of making a contribution to the public good is one of the most rewarding aspects of our work. As a result, there is a strong culture of support within teams and across the organisation to deliver our priorities.

Who are we looking for?

We believe in data-led, proactive and assertive regulation and are keen to hear from people who can think creatively about how to use data to target the highest risk firms and deliver consumer-focused outcomes.

We are looking for assertive, curious and focused people who are willing to learn about financial services regulation. You will have:

- Relevant industry/ consultancy/ regulatory experience in wealth management/ private banking/ stockbroking or related sectors
- Good analytical and problem-solving skills, and sound judgement to secure the right outcomes for consumers
- The ability to process and interpret often complex information and work collaboratively as part of a team
- Effective communication skills and the ability to influence others, including potentially challenging firm engagement
- The ability to manage other important priorities/projects alongside day-to-day tasks.

What does the job involve?
- Developing assertive supervision and mitigation strategies, setting clear expectations to firms, influencing, persuading and where appropriate, using formal powers to change conduct behaviour to deliver better outcomes for consumers
- Analysis of the business models/strategies of firms, and identifying how conduct risks could cause harm to consumers and/or markets
- Developing constructive working relationships with senior management in firms
- Building strong working relationships with internal stakeholders who can support the delivery of the supervision strategies
- Escalating issues as appropriate, including proposing proportionate, outcome focused solutions to FCA senior management and relevant governing committees

What will you get from the role?
- A stimulating and exciting environment with varied and challenging work.
- A unique insight into the workings of firms across the sector and have the opportunity to influence firms' senior management and behaviour.
- High profile work, with exposure to senior stakeholders at the FCA.
- Exposure to a diverse cross divisional FCA approach that includes Prudential, Resolution, Financial Crime and Enforcement action.
- The ability to influence stakeholders, and work with a group of talented high performing individuals.
- As an Academy business, we place great value on your learning, and we offer world-class development opportunities which will assist you in achieving your career aspirations. Our Academy offers you a range of opportunities for personal and professional development, including our MSC in financial regulation, Advanced Managers programme, sponsored study and more.

About you

Minimum
- Experience of making timely risk-based decisions with clear justification and putting an appropriate strategy in place
- Clear and concise written communication
- Relevant industry/ consultancy/ regulatory experience in wealth management/ private banking/ stockbroking or related sectors

Essential
- Stakeholder management: you can build effective working relationships to support the delivery of supervisory objectives, flexing your style to build consensus and influence a range of diverse stakeholders
- Strong sense of accountability: you take ownership of problems and drive forward pragmatic action-based solutions
- Organisational skills and p

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