Market Intermediaries Supervisor
6 months ago
Market Intermediaries Supervisor
**Salary**: London ranging from £44,900 to £51,000
- Are you looking for an exciting opportunity to play a key role in a team that works at the heart of corporate finance and capital markets activity in London?_
The team/department
The UK is a global centre for the primary issuance of securities and tradable financial instruments like shares and bonds. The Primary Market Oversight Department focuses on a wide range of primary market activity, including supervising key intermediaries in the issuance of securities, and monitoring and enforcing compliance with the Listing Rules, the Market Abuse Regulation and the Disclosure Guidance and Transparency Rules. Our work is market-facing, real time, and often high profile.
The Primary Market Specialist Supervision Team is responsible for supervising sponsors, Primary Information Providers, and proxy advisers. It also conducts supervisory reviews of corporate finance firms, with a focus on market abuse systems and controls. The work of the team is of vital importance to the FCA’s objectives of strengthening wholesale markets and tackling market abuse. Most of the team’s work focuses on three areas of regulation:
Sponsors
The role of a sponsor is to advise companies and their directors during key events, such as on an initial public offering. Sponsors also provide important assurances to the FCA, helping the FCA to perform its own role in protecting consumers and maintaining market integrity. We perform regulatory reviews of sponsors, inspecting the work they perform in their role and checking that it meets our requirements. We maintain oversight of live corporate transactions to ensure that sponsors are performing their role appropriately and respond to events, using a range of supervisory tools.
Primary Information Providers
Primary Information Providers are the information services companies must use to disseminate information required by the regulations, for example the Market Abuse Regulation. We review compliance reports provided by the firms providing these services and monitor and respond to real-time events.
Market abuse
Market integrity is at the heart of the Primary Market Specialist Supervision team’s work and, as such, we are also increasingly focused on how firms, including sponsors and other corporate finance firms, comply with the Market Abuse Regulation. We perform regulatory reviews of firms to understand how their governance, systems and controls operate to prevent market abuse. This work involves us working closely with a range of other teams at the FCA, including other supervisors and secondary market experts.
What you will be doing (the role)
Given the broad remit of the team, you are likely to be involved in a wide and changeable range of case and project work spanning the team’s supervisory responsibilities. You will also be allocated a portfolio of firms to supervise. With the support of experienced colleagues, you will:
- Develop and maintain relationships with your sponsor firms through regular communications with senior compliance and corporate finance/investment banking individuals, acting as their first point of contact with the team- Analyse and understand regulatory issues or concerns that have arisen on sponsor transactions, making enquiries, and building a case, so that appropriate supervisory action can be taken- Lead and support on conducting desk-based or on-site reviews at sponsors and other corporate finance firms-
- Support strategy and policy development work by contributing to the development of ideas and conducting research- Provide research analysis and conduct regulatory checks to support team processes, projects, and cases- Collaborate with other FCA stakeholders (including other primary and secondary market supervisors, Enforcement, and Legal) to develop and implement coherent and effective supervisory strategies
What you will get from the role
This role offers an excellent opportunity to be an important and integral part of a team in a busy, friendly environment. You will:
- Gain an insight into primary markets regulation and the operation of the Listing Rules, Disclosure Requirements and Transparency Rules and the Market Abuse Regulation- Develop your skills and experience in a department with considerable exposure to the transactions making the headlines in the business pages- Work on a diverse range of cases and projects across a wide variety of the activities covered by the PMO department, building relationships inside and outside the FCA- Have excellent access to learning, training, and personal development opportunities
Our competitive flexible benefits scheme gives you the opportunity to create a personalised benefits package, tailored to suit your lifecycle. You can use this allowance to purchase additional benefits such as dental or cycle to work or you have the option top up your base salary by taking this as cash.
Core benefits that you will receive as
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