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Senior Associate

Listing Transactions, Enforcement and Market Oversight

Applications are now closed

Location: London

Programme: Supported hire into permanent role. Apply by 11th February 2018

Are you looking for intellectually challenging, meaningful work? There are few jobs where you can make a real difference to the 2 million people who work in the UK Financial Services industry, the 40 million consumers of financial products and the stability of the economy as a whole.

The Financial Conduct Authority (FCA) welcomes professionals who have taken an extended career break to apply for these permanent roles. Successful hires who have taken a career break of 2+ years will receive coaching support through the transition period from Women Returners. As an inclusive employer, the FCA is open to considering flexible working arrangements. Please state if you wish to apply for the role on a flexible basis.

About the Department

Market Oversight is responsible for overseeing primary and secondary market activity through its role under the listing, market abuse and short-selling regimes. Their work protects consumers and delivers market integrity by ensuring high standards of market practice and appropriate disclosure so our markets will function well.

The Listing Transactions Department sits within the Market Oversight Directorate at the Financial Conduct Authority. It is one of the two departments which discharge the FCA’s UK Listing Authority functions. These functions provide regulatory oversight of the UK’s primary capital markets, and have a regulated community which includes issuers of publicly traded securities, sponsors and Primary Information Providers.

Within the Listing Transactions Department teams are responsible for reviewing and approving prospectuses and circulars under the Listing Rules and Prospectus Rules, for reviewing the eligibility for listing of applicants for the Official List, and for giving guidance on the Listing Rules and Prospectus Rules. This work occurs against a background of corporate transactions by listed companies and other companies in scope of their rules. In carrying out their work they liaise with the investment banks, law firms and other advisers to companies carrying out the transactions.

What does the job involve?

The successful candidate will join the Transaction Review function and will get exposure to a wide range of issuers and transactions. They will work in two-person case-teams assigned to review draft prospectuses and circulars for compliance with the Listing Rules and the Prospectus Rules, assess eligibility for listing and respond to written queries on the interpretation of the regime in novel and complex areas. They will act as the first reader in the case team and will be responsible for preparing comments on the documents provided by the issuers and liaising with the issuers’ advisers. They will be supported by senior readers within the team and will work closely with transaction managers.

What will you get from the role?

You will have a rare opportunity to understand and shape the workings of the financial sector at a time of considerable change. You will enjoy a unique insight into the full spectrum of the financial services industry, with the opportunity to have a real impact whilst working collaboratively towards a common goal alongside a range of internal and external stakeholders.

The roles offer an excellent opportunity to gain a sound and practical working knowledge of primary markets regulation along with in depth exposure to the transactions making the headlines in the business pages. But at the same time you will enjoy a better work/life balance than many of those in the professional advisory firms you will be dealing with. You will also develop transaction management and influencing skills, take on high levels of responsibility and deal with a variety of advisers on technical issues at a senior level.

Qualifications, Skills & Experience



About the FCA

The FCA is the conduct regulator for 56,000 financial services firms and financial markets in the UK. The work is intellectually stimulating and rewarding, offering the opportunity to make a positive impact on individuals and the UK economy. You will be part of a thriving professional community and will enjoy a challenging and diverse environment with a range of opportunities for personal and professional development. You will also be supported to develop your career through relevant internal and external learning and training.

Read a recent interview with Mary Starks, FCA Director of Competition, who works as a job-share.

Other Information

Salary will depend on experience. The salary range will be approximately £50,000 to £69,000, plus a competitive benefits package and non-contributory pension.

The FCA is recruiting for one permanent and one 12 month Fixed Term Contract position. Please make it clear on your application if you do not wish to be considered for the Fixed Term Contract.

This role will be based in London, Canary Wharf, with a planned move in 2018 to a new site in The International Quarter, Stratford.

Selection process

Stage 1: On-line application, please submit your CV and answer to the following application question:

Why do you believe that you are suitable for this role? Please ensure that you specifically relate your answer to the criteria listed in the job advert, covering your relevant skills, technical knowledge and competencies. (Max 300 words)

Stage 2: Screening – your application will then be forwarded to the recruiting managers

Stage 3: Assessment exercise followed by a technical and competency based interview

Stage 4: Final stage interview

Closing date: Applications for these roles close on 11th February 2018.

They are looking for interviews to take place in February 2018.

With any questions, please contact Kavi Vadera on Kavi.Vadera@resourcesolutions.com

Please tell the FCA that you found out about the opportunity from Women Returners.