Senior Associate - Primary Market Specialist Supervision

Resource Solutions.
London, United Kingdom
£50k - £62k
04 Feb 2023
06 Mar 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Role Objective:

The role holder will attend and take part in meetings/calls with senior members of sponsor firms' Compliance and Corporate Finance teams and will have opportunities to lead and support discussions with sponsors about their sponsor business and liaise with our Listing Transactions and other colleagues to provide a range of feedback to the firms, from sharing best practice to communicating challenging messages. In addition, there could be opportunities to lead or support work with Primary Information Providers (PIPs) and/or Proxy Advisors, to get involved in policy and project work.

In this role, you will:
  • Develop and maintain relationships with your sponsor firms/PIPs through regular communications with senior Compliance and Corporate Finance/Investment Banking individuals
  • Develop an understanding of the relevant firms, their staff, systems, and controls
  • Analyze and understand the technical issues on sponsor transactions that have arisen
  • Lead and coordinate desk-based or on-site reviews at sponsors and other corporate finance firms
  • Consider applications from firms wishing to become a sponsor, PIP, or Proxy Advisor
  • Ensure that feedback on performance is provided to sponsors or PIPs on a timely basis
  • Lead or support policy development work
  • Where appropriate, refer matters for investigation by the FCA's Enforcement teams
  • Work collaboratively with other FCA stakeholders (including other Market Oversight teams, Supervision, Enforcement, and General Counsel)

Requirements & Skills:
  • Experience working in the primary markets space (whether in corporate finance, ECM, or investment banking) in a front office or Compliance related role, this is a non-negotiable
  • A strong understanding of the UK's primary markets and corporate finance landscape, this is a non-negotiable
  • Knowledge and experience of the FCA's approach to Supervision, Policy, and Enforcement
  • Excellent written and oral communication skills
  • The ability to manage, prioritize and deliver across a diverse range of projects and workstreams
  • A proven track record of acting as a decision-maker and the ability to make real-time judgments about when and how to escalate
  • The ability to identify key risks and the interests of the FCA and to recognize the impact of a course of action on our stakeholders
  • The ability to manage a portfolio of work and show initiative
  • Effective negotiation and relationship-building skills, the ability to robustly communicate difficult messages with credibility, and to employ a range of influencing styles

Should this role resonate with you and your experience, then apply today.

*You must have the legal right to work in the UK when applying for this position and do not require any sponsorship in the future*