Job title:   Listings Corporate Finance Senior Specialist
Division:   Enforcement & Market Oversight
Department:   Listings  

• Salary: London ranging from £59,200 to £76,800 and National (Edinburgh & Leeds) ranging from £53,800 to £69,600 (salary offered will be based on skills and experience) 

• This role is graded as:   Senior Associate – Regulatory

• Your recruitment contact is Riley at [email protected]  - 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.  

Enforcement & Market Oversight (EMO) is responsible for the FCA’s responsibilities for market monitoring, delivery of the functions of the UK Listing Authority (UKLA) and the investigation and prosecution of misconduct using the whole spectrum of criminal, civil and administrative sanctions and remedies against firms and individuals.

The Listings Department sits within the Market Oversight Directorate (MO) at the Financial Conduct Authority. The Department has a key role in the regulation of capital markets activity in the UK. We are currently recruiting a Senior Associate to join our Listings Department.

The role offers 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, including major IPOs, equity capital raises such as rights issues, Mergers and Acquisitions (M&A) activity and non-equity issuances including structured products, sukuks, high yield bonds and medium term note programmes. You will also develop project management and influencing skills, take on significant levels of responsibility and deal with a variety of advisers on technical issues.  As your career develops there may be opportunities to work with other areas within the FCA in ad hoc cross-cutting teams.

You will have a rare opportunity to be involved in the workings of the FCA as capital markets regulator at a time of considerable change. You will enjoy a unique insight into the full spectrum of capital markets activity, with the opportunity to have a real impact whilst working collaboratively towards a common goal alongside a range of internal and external stakeholders.

Role Responsibilities

• You will work in small case teams assigned to review draft prospectuses and circulars, assess eligibility of companies for listing on the London market and respond to written queries on the interpretation of the regime in a novel and complex area

• Within a case team, you will act as a principle point of contact with the advisory firms who submit cases to the Listings Department for review and will be responsible for preparing comments on the documents provided by companies and their advisers, managing transaction timetables, and liaising with companies’ advisors

• The work is market-facing, highly time critical, and can require challenging judgments to be made often in pressurised circumstances 

Skills required

Minimum

• Demonstrable experience of the wider capital markets and/or the corporate transactions carried out by listed companies

• Proven experience of managing stakeholders

Essential

• Good attention to detail and strong analytical and verbal reasoning skills

• Excellent communications skills, including written English

• A motivated approach with the ability to work under pressure and manage a large workload whilst maintaining focus and high standards

• Highly effective influencing skills, including delivering difficult messages, and a positive attitude to dealing with external parties with a commitment to building effective relationships

• A team player with the ability to work independently when required

• The ability to be flexible and adaptable in your approach to encompass new ways of working as required

• Strong organisational skills with the proven ability to prioritise work and escalate issues

• The ability to digest a large amount of written information and identify relevant issues from such information

• Wider experience of capital markets, for example, equity capital markets (ECM) and/or debt capital markets (DCM), knowledge of closed and open-ended investment fund structures and asset management or the broader European capital markets regulatory framework

Benefits 

• 25 days annual leave plus bank holidays 

•  Colleagues spend a minimum of 50% of their working time in the office each month (60% for Directors and Executive Directors) across our London, Leeds and Edinburgh offices 

• Non-contributory pension (8–12% depending on age) and life assurance at eight times your salary 

• Private healthcare with Bupa, income protection, and 24/7 Employee Assistance 

• 35 hours of paid volunteering annually 

• 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 timelines

Timeline:  

• Job advert closing: 27th September at 11:59pm

• CV Review/Shortlist: 2nd October

• First Interview: w/c 12th October    

• 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.   

SC Clearance is required for this role (SC Guidance) - you will hold or will be required to obtain Security Check (SC) level vetting