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About the Role

This role offers an excellent opportunity to gain practical working knowledge of primary markets regulation, with in-depth exposure to major transactions including IPOs, equity capital raises, M&A activity, and various non-equity issuances. You will develop project management and influencing skills, take on significant responsibility, and deal with advisers on technical issues. As your career develops, there may be opportunities to work with other areas within the FCA.

Responsibilities

Work in small case teams to review draft prospectuses and circulars.
Assess the eligibility of companies for listing on the London market.
Respond to written queries on the interpretation of the regime in novel and complex areas.
Act as a principal point of contact with advisory firms submitting cases.
Prepare comments on documents provided by companies and their advisers.
Manage transaction timetables.
Liaise with companies' advisors.

Requirements

Demonstrable experience of the wider capital markets and/or corporate transactions carried out by listed companies.
Proven experience of managing stakeholders.
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.
SC Clearance is required for this role (SC Guidance) - you will hold or will be required to obtain Security Check (SC) level vetting.

Skills

Capital markets
Corporate transactions
Stakeholder management
Attention to detail
Analytical skills
Verbal reasoning
Communication skills
Written English
Working under pressure
Workload management
Influencing skills
Teamwork
Independent work
Flexibility
Adaptability
Organisational skills
Prioritisation
Issue escalation
Information digestion
Equity capital markets (ECM)
Debt capital markets (DCM)
Investment fund structures
Asset management
European capital markets regulatory framework

Location

London
Edinburgh
Leeds

Work Type

Hybrid

Experience Level

Senior Associate – Regulatory

Salary/Compensations

London ranging from £59,200 to £76,800
National (Edinburgh & Leeds) ranging from £53,800 to £69,600

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)
Non-contributory pension (8–12% depending on age)
Life assurance at eight times your salary
Private healthcare with Bupa
Income protection
24/7 Employee Assistance
35 hours of paid volunteering annually
A flexible benefits scheme designed around your lifestyle

About the Company

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.
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.

Equal Opportunity

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.
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.