Position Monitoring Unit

2 weeks ago

London, United Kingdom Financial Conduct Authority Full time

The Role

The Position Monitoring Unit (PMU) is part of the Market Integrity Unit in Primary Market Oversight and plays a pivotal role within the Market Oversight Directorate to ensure a variety of market participants comply with their notifications and disclosure obligations under various regimes.

PMU has a vacancy for an associate (Level 8), this is an excellent opportunity to join a team that oversees investors and market participants compliance with transparency requirements. Our electronic submission platform facilitates submissions globally and allow us to store transaction data in a single repository. Data analytics is used to prioritise our monitoring and supervisory work. Our strategy is to raise the general level of compliance, change poor behaviour through supervisory actions and to pinpoint the most serious misconduct in this area for progression of cases to Enforcement.

What does the role involve? What are the key responsibilities?- You will be part of a team that is responsible for monitoring compliance with various notification and disclosure regimes from a variety of securities market participants including those regarding share dealing by directors in listed and traded companies, from significant shareholders and from short position holders.- You will engage with a diverse group of investment firms and individuals with significant positions in listed and traded companies to determine whether their reports are accurate and timing. This requires periodic and ad-hoc assessment of reporting data submitted to us via our electronic systems.- You will provide guidance on the process to submit notifications to us and deal with registrations and notifications submitted by investment firms and individuals for both shareholding and short selling regimes.- You will support senior associates in responding to guidance requests from investors and individuals. To be effective here you will have good attention to detail and concise drafting skills.- Providing guidance and direction on the exemption notification process to market makers and escalating issues that require further assessment.- You will produce daily reports of net short positions for publication on our website as well as weekly and ad hoc stats for our monitoring teams.- You will work with the team to proactively monitoring significant positions by contacting investors to understand the rationale behind their investment decisions.- You will have to proactively find new ways to exploit reporting data and use more data analytics in our monitoring and supervision.- You will work closely with colleagues in Primary Market Oversight assisting them with key data on shareholding and short positions.

This is an exciting opportunity to take on a varied and demanding role right at the heart of London's corporate finance and capital markets.

You will have the opportunity to:
- Be centrally involved in monitoring and supervising key reporting regimes that ensure adequate transparency of significant positions in listed and traded companies in UK capital markets.- Be part of a committed and dynamic team, and to work in a vibrant, market facing department.- Further develop your professional skills in a demanding role that requires the use of data analytics and good understanding of financial instruments and trading activities.

Skills/Experience Required

Minimum- Previous experience in a compliance, regulatory or professional function related to capital markets or financial services including equity, debt, other financial instruments, transaction data and data analysis.- Demonstrable experience of handling a varied caseload.- Demonstrable experience of dealing with external stakeholders.- Interest in the FCA's work as a securities regulator and enthusiasm for the role.

Essential- Required role-specific know-how, skills and behaviours.- Ability to engage with market participants and recommend appropriate outcomes both verbally and in writing.- Organisational ability - capable of managing a variety of competing tasks and issues, prioritising appropriately and escalating where necessary.- Ability to work collaboratively and flexibly with colleagues across the FCA.- Good communication skills and attention to detail.

Desirable- A background in capital markets and corporate finance.- Knowledge of the FCA regulatory framework including the UK listing and disclosure regime, the UK Market Abuse Regulation, Short Selling Regulation and the Major shareholding regime under the Disclosure Guidance and Transparency Rules Chapter 5 (DTR 5).- Understanding the workings of the primary and secondary UK securities markets.

About the FCA

At the FCA, we’re creating a fair and more resilient financial system. We’re establishing more transparent relationships between financial services and their customers, building trust in financial markets and protecting vulnerable consumers.

The FCA's Values & Diversity

Our ambition is to create a diverse and inclusive workplace t

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