Senior Associate Regulatory
Division - Market Oversight
Department - Primary Market Oversight
Salary - Senior Associate – Level 7 pay banding applies (Salary offered will be based on skills and experience)
About The FCA
The FCA regulates the conduct of 45,000 firms in the UK to ensure our financial markets are honest, fair and competitive. Follow this link to find out more About the FCA.
The FCA’s Primary Market Specialist Supervision (PMSS) team seeks an enthusiastic, self-motivated team player to join its Primary Market Oversight Department (PMO), part of the Market Oversight Directorate. PMO regulates UK primary market securities, handling high-profile, market-facing activities.
PMSS supervises primary market regimes, ensuring compliance with the Market Abuse Regulation (MAR) and overseeing sponsors, Primary Information Providers (PIPs) and proxy advisers. Sponsors guide listed issuers through major transactions like IPOs, PIPs disseminate regulatory information and proxy advisers support institutional investors with research and voting services.
As capital markets evolve, the FCA is refining listing and prospectus regulations, with sponsors playing a key role. PMSS prioritizes industry engagement, firm support and effective oversight to ensure market integrity.
What will you be doing?
- Establishing and maintaining relationships with sponsor firms and PIPs through regular communication
- Gaining insight into firms, their teams, and their systems and controls
- Evaluating technical issues and applying regulatory expertise to address them
- Overseeing and conducting desk-based or onsite reviews of sponsors and corporate finance firms
- Reviewing applications from firms seeking approval as sponsors, PIPs, or proxy advisers
- Delivering feedback to firms and taking necessary actions accordingly
What will you get from the role?
- Develop expertise in primary markets regulation with tailored training, coaching, and guidance, supporting technical knowledge growth.
- Gain unique insights into corporate transactions making headlines, with hands-on experience assessing complex cases.
- Broaden regulatory experience by collaborating with a range of stakeholders, including senior industry professionals and regulatory bodies
- Lead or support key projects across primary markets regimes, policy work, and corporate finance compliance assessments
- Contribute to supervisory strategies, shaping approaches to financial regulation and market integrity
- Work within an inclusive culture with flexible arrangements that support a balanced approach to professional and personal commitments.
Which skills are required?
We are a Disability Confident Employer; therefore, disabled people or individuals with long-term conditions who best meet the minimum criteria for a role will go through to the next stage of the recruitment process. (To learn more about the Disability Confident Scheme Click Here)
Minimum
- Proven experience working in primary markets whether in corporate finance, investment banking compliance or regulation
Essential
- Confident and clear communicator, adept at both written and verbal expression
- Strong decision-making and intuition, knowing when to escalate and how to navigate complexity
- Proactive risk and opportunity management, ensuring stakeholder impact is considered
- Effective collaborator, fostering teamwork across diverse cases and projects
- Supportive and adaptable, creating an inclusive and engaging work environment
- Empathetic influencer and negotiator, using versatile techniques to inspire alignment
Our Values & Diversity
We are proud to be an inclusive employer and our ambition is to cultivate a culture for all employees that respects their individual strengths, views and experiences. 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.
Within the workplace you will have access to various employee resource groups which aim to promote and achieve a healthy work / life balance and support our diversity ambitions.
Did you know? 50% of our Executive Committee were the first in their family to attend university.
Benefits Of Working At The FCA
- 25 days holiday per year plus bank holidays
- Hybrid working (work from home up to 60% of your time)
- Private healthcare with Bupa
- A non-contributory Pension of at least 8% of basic salary each month (there are several contribution levels that increase depending on your age – up to 12% a month once you reach age 35)
- Life assurance of eight times your basic salary
- Income protection
We also have a competitive flexible benefits scheme which gives you the opportunity to create a personalised benefits package, tailored to suit your lifestyle.
We welcome applications from candidates who are looking for flexible arrangements. Many of our staff work flexibly including working part-time, staggered hours and job shares. We can’t promise to give you exactly what you want but we can explore what might work best for both sides.
Follow this link to see what life is like at the FCA - Life at the FCA
Application Support
We are dedicated to removing barriers and ensuring our application process is accessible to everyone. We offer a range of adjustments to make your application experience as comfortable and straightforward as possible.
If you have an accessibility need, disability, or condition requiring changes to the recruitment process, please contact your recruiter using the details below and they will be happy to discuss this further with you.
Useful Information and Timeline
- This role is graded as Level 7
- Advert Closing Date: Friday 18th July 2025
- CV Review/Shortlist: 22nd July 2025
- Competency Based Interview: WC 4th August 2025
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.
Got a question?
If you are interested in learning more about the role, please contact:
[email protected]Applications must be submitted through our online portal. Applications sent via email will not be accepted.
