Primary Markets Case Officer (Issuer Management)
Salary: London - £46,000 - £57,400 and National - £41,800 - £52,200
The team/department
We have an opportunity for an associate in Issuer Management (“IM”) which is a small team within the FCA’s Market Oversight directorate processing cases related to the FCA’s Official List of Securities. An entry in the Official List of a company’s securities is important to a company and to investors. Investors need to know whether a company’s securities are officially listed or not and therefore whether any of the obligations in the UK listing regime apply to that company. IM also undertakes other essential activities to support key primary market activities, including helping ensure the completeness and accuracy of primary markets data.
IM are looking ahead to a period of transformation. IM will in due course form part of a new department within Market Oversight called Market Oversight Intelligence & Data, for this reason, the position would suit a candidate comfortable with change. IM will have an ever greater focus on data quality and data stewarding, while retaining the teams historic ethos of being an efficient, timely, responsive, service-orientated processor of listing applications.
What you will be doing (the role)
* Review and process cases for admission, revision, suspension, and removal of securities on the FCA’s Official List
* Handle filings related to the FCA’s National Storage Mechanism, including support for iXBRL reporting
* Ensure accuracy and currency of information on securities, issuers, and contacts within the directorate
* Process information concerning trading suspensions, removals, and restorations in a busy, deadline-driven environment
* Maintain effective communication with key contacts at the London Stock Exchange and other Recognised Investment Exchanges
* Produce management information on case progress and outcomes, and collaborate with team members to support the Listing Transaction Operational Support team
What you will get from the role?
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 rules and processes surrounding the maintenance of the FCA’s Official List of Securities. You will enjoy a unique insight into securities regulation in the UK at a time of change, and work collaboratively to make a real impact. You will also develop an understanding of the FCA’s role in maintaining market integrity and gain exposure to a wide range of people within and outside the FCA.
Our competitive flexible benefits scheme gives you the opportunity to create a personalised benefits package, tailored to suit your lifestyle. You can use this allowance to purchase additional benefits such as dental or cycle to work or you have the option to top up your base salary by taking this as cash.
Core benefits that you will receive as standard are:
* 25 days holiday per year plus bank holidays
* Private healthcare with Bupa
* A non-contributory Pension of at least 8% of basic salary each month (there are several contribution levels that increase depending on your age – up to 12% a month once you reach age 35)
* Life assurance of eight times your basic salary
* Income protection
We support hybrid working which means you will be able to work from home up to 60% of the time over a month with the remainder of your time in one of our three office locations.
The skills and experience you will have
Minimum criteria
* Case handling experience (processing a high number of cases in a busy environment to a high standard of quality)
* Experience of working with data and reporting (using data analytical tools)
* Excellent written and oral communication skills and the ability to develop effective relationships with a range of stakeholders internally and externally
Essential criteria
* Proven organisational, time management and prioritisation skills including an ability to multi-task
* Evidence of working in a process and deadline-driven environment, driving tasks through to completion at a high standard
* A "can-do" attitude and a fast learner with ability to act on own initiative to develop knowledge
* Ability to work as part of a team with a positive and self-motivated approach to work
About the FCA
The FCA regulates the conduct of nearly 45,000 firms in the UK to ensure our financial markets are honest, fair and competitive. We do this to make sure markets work well for individuals, businesses and the economy as a whole.
The FCA's Values & Diversity
Our ambition is to cultivate a culture of inclusion for all employees that respects their individual strengths, views, and experiences. 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.
The FCA is committed to achieving greater diversity across all levels of the organisations. Given this, we particularly welcome applications from women, disabled and minority ethnic candidates for our Associate role.
Flexible working
We welcome applications from candidates who are looking for flexible arrangements. Many of our staff work flexibly including working part-time, staggered hours, and job shares. We can’t promise to give you exactly what you want but we won’t judge you for asking.
Multi-location
As part of the FCA’s ongoing commitment to develop our national presence, most of our vacancies are now open to working in our Edinburgh, Leeds, or London offices. This means that as part of the application process you will be able to select your preference of which office location you would like to work from.
What to expect from our interview process
This will involve a one stage technical and competency based interview.
Application support
We want to remove any possible barriers and are committed to providing a wide range of reasonable adjustments so that you can keep the focus on your conversations and be at your best.
If you have an accessibility requirement, disability, or condition that means you might require changes to the recruitment process, please contact your recruiter to discuss this further. Our aim is to make your application as easy and comfortable as possible, and your recruiter will be happy to work with you to make any necessary arrangements where possible.
Security Clearance/Vetting
The successful candidate will hold or will be required to obtain Security Clearance (SC) level vetting.
Please note that all applications must be submitted through our online portal, applications sent via email will not be accepted.
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