Job title: Senior Investment Platforms Supervisor
Division: Supervision Policy Competition - Consumer Investments
Department: Retail Investments, Platforms and Proactive Supervision (RIPPS)
1. Salary: National (Edinburgh and Leeds) ranging from £52,400 to £65,500 and London from £57,700 to £72,000 (Salary offered will be based on skills and experience)
2. This role is graded as: Senior Associate - Regulatory
3. Your recruitment contact is Cameron Nunn via k. Applications must be submitted through our online portal. Applications sent via social media or email will not be accepted.
About the FCA and team
We regulate financial services firms in the UK, to keep financial markets fair, thriving and effective. By joining us, you’ll play a key part in protecting consumers, driving economic growth, and shaping the future of UK finance services.
SPC oversees firms and individuals (supervision), creates and reviews the rules by which they operate (policy) and identifies and remedies ineffective competition in markets (competition).
Sitting in the Consumer Investments (CI) directorate, RIPPS supervises four of CI’s six portfolios and leads proactive supervision and financial crime prevention through its specialist teams focused on investment platforms, SIPPs, crowdfunding, Peer to Peer lending, multi-firm reviews, and financial crime.
Role responsibilities
4. Supervise a diverse portfolio of firms and groups providing platform services to the UK retail investment market, including FTSE 100 companies and global financial institutions
5. Lead supervision of key firms, ensuring compliance and mitigating risks of consumer harm
6. Engage directly with senior stakeholders such as CEOs, Board Members, and other key individuals
7. Manage reactive casework and contribute to proactive thematic analysis of significant risks in the UK platform market
8. Prepare and deliver internal papers and presentations for both internal and external audiences
9. Oversee advised and direct-to-consumer platforms, including new market entrants such as disruptors and neobrokers
10. Collaborate with colleagues across supervision and other FCA departments to achieve regulatory objectives
11. Drive continuous improvement by identifying areas for enhancement and recommending solutions
Skills required
Minimum:
12. Prior experience working in the UK retail investment market, involving regular interaction with investment platforms services and knowledge of the way the investment sector operates
13. Demonstrable experience of analysing complex information or data and conveying this to senior stakeholders
14. Prior financial services, regulatory, consultancy, audit or compliance experience
Essential:
15. Good attention to detail and strong analytical and verbal reasoning skills alongside excellent communications skills, including written English
16. A "can-do" attitude with the ability to work under pressure, prioritising and manage a large workload
17. A team player with the ability and understanding to work independently when required
18. Strong organisational skills with the proven ability to prioritise work and escalate issues
19. The ability to digest a large amount of written information and identify relevant issues from such information
20. Experience of managing relationships with internal and external stakeholders with the ability and understanding to deal with people at all levels, with effective influencing skills, including delivering difficult messages
21. Knowledge, understanding and experience of the broader FCA regulatory framework
Benefits
22. 25 days annual leave plus bank holidays
23. Hybrid model with up to 60% remote work
24. Non-contributory pension (8–12% depending on age) and life assurance at eight times your salary
25. Private healthcare with Bupa, income protection, and 24/7 Employee Assistance
26. 35 hours of paid volunteering annually
27. A flexible benefits scheme designed around your lifestyle
For a full list of our benefits, and our recruitment process as a whole visit our benefits page.
Our values and culture
Our colleagues are the key to our success as a regulator. We are committed to fostering a diverse and inclusive culture: one that’s free from discrimination and bias, celebrates difference, and supports colleagues to deliver at their best. We believe that our differences and similarities enable us to be a better organisation – one that makes better decisions, drives innovation, and delivers better regulation.
If you require any adjustments due to a disability or condition, your recruiter is here to help - reach out for tailored support.
We welcome diverse working styles and aim to find flexible solutions that suit both the role and individual needs, including options like part-time and job sharing where applicable.
Disability Confident: our hiring approach
We’re proud to be a Disability Confident Employer, and therefore, people or individuals with disabilities and long-term conditions who best meet the minimum criteria for a role will go through to the next stage of the recruitment process. In cases of high application volumes, we may progress applicants whose experience most closely matches the role’s key requirements.
Useful information and timeline
Timeline:
28. Job advert close: 30th November at midnight
29. CV Review/Shortlist: 4th December
30. Interview: Starts w/c 8th December
Your Recruiter will discuss the process in detail with you during screening for the role, therefore, please make them aware if you are going to be unavailable for any date during this time.