Senior Supervisor - Corporate Finance Firms

Senior Supervisor - Corporate Finance Firms Division:
Market Interventions, Infrastructure & Exchanges Department:
Trading Venues & Corporate Finance Firms

• 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)

• This role is graded as: Senior Associate

• Your recruitment contact is Sandeep Guntupalli [S]. Applications must be submitted through our online portal. Applications sent via social media or email will not be accepted.

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 Infrastructure & Exchanges directorate, the MI Trading Venues & Corporate Finance Firms Department integrates the supervision of key market infrastructure and corporate finance firms with the development of policy frameworks for trading venues, aiming to promote fair, orderly, and transparent markets across a broad range of asset classes and venue types. The Corporate Finance Firms team supervises around 440 firms that advise on corporate transactions including the raising of capital from wholesale and retail investors.

• Guide and prioritise team efforts to ensure resources are focused on high-impact supervisory work.

• Support colleagues, fostering a collaborative team culture.

• Assess firm strategies and risks, using data insights to protect consumers and market integrity.

• Shape and deliver supervision strategies that drive meaningful change and regulatory outcomes.

• Engage directly with firms, setting clear expectations and using influence or powers to improve behaviours.

• Collaborate and elevate, working with internal stakeholders and senior management to resolve issues effectively.

Minimum:

• Proven experience working in either a financial service environment such as firms, legal and consultancy, or other regulatory and government organisations

• Proven experience within qualitative and quantitative analysis (including of financial information)

Essential:

• Knowledge of wholesale financial markets, in particular, experience in a corporate finance and primary capital markets role in business, compliance or internal audit

• Experience in interpreting and questioning information and forming strong, evidence-based judgements, in particular, from complex regulatory investigations, or investigations involving serious fraud or other complex financial crime

• Ability to communicate clearly and with assurance (in both verbal and written form)

• Experience of managing relationships with internal and external stakeholders

• Ability to work collaboratively within a team and independently

• Ability to prioritise competing goals and have proven organisation skills

• Ability to maintain focus and high standards whilst working under pressure

• 25 days annual leave plus bank holidays

• Hybrid model with up to 60% remote work

• 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 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…