Senior Wholesale Brokers Supervisor

Financial Conduct Authority; Leeds; On-site; GBP 54,000 - 69,000; Full time

Benefits offered by this job

25 days annual leave

Non-contributory pension

Private health care

Income protection

Employee Assistance

Volunteering time

Office presence 50%+

Flexible benefits

Job summary

The Financial Conduct Authority is seeking a Senior Wholesale Brokers Supervisor to lead supervisory activity for wholesale broker firms in the Sell-Side directorate. The role is based in the UK with a national remit including Leeds and Edinburgh, and may involve London duties.

You will design supervisory strategies, oversee complex regulatory interventions, and build senior stakeholder relationships to deliver robust regulatory outcomes.

Qualifications

• Prior experience of wholesale financial markets and regulation.
• Prior experience exercising judgement in complex situations.
• Prior experience in a role which has required strong written communication skills.
• Knowledge of wholesale brokers, their business models and conduct risks arising from them, as well as of wholesale markets more generally
• The ability to assess complex information and form strong judgements
• Good awareness of the UK regulatory framework
• The ability to communicate with impact and influence at senior levels
• The ability to engage with a variety of internal and external stakeholders

Responsibilities

• Develop and deliver supervisory strategies across a portfolio of wholesale broker firms, aligning activities with regulatory priorities
• Develop and oversee supervisory workstreams from inception to completion, securing senior stakeholder agreement and driving successful execution
• Conduct thematic and multi‑firm reviews to assess firms’ governance, risk management frameworks, and operational resilience arrangements
• Directly supervise a portfolio of firms, taking ownership of complex supervisory cases, decisions, and regulatory interventions
• Assess and address issues relating to financial crime, market abuse, conduct risk, prudential resilience, and regulatory compliance
• Identify, investigate, and manage significant supervisory concerns, including serious misconduct allegations, business model risks, and potential firm failures
• Build and maintain effective relationships with senior leaders at regulated firms to motivate, engage with, and support positive regulatory outcomes and also internal specialists across Policy, Market Monitoring, Prudential Supervision, Operational Risk, Financial Crime, Enforcement, and Legal teams
• Support the development of supervision strategies for colleagues’ portfolios, contributing specialist knowledge and regulatory insight.

Skills

Wholesale markets knowledge

Regulatory experience

Written communication

Stakeholder engagement

Complex decision making

Job description

Job title: Senior Wholesale Brokers Supervisor

Division: Supervision, Policy and Competition

Department: Sell-Side

• Salary: National (Edinburgh and Leeds) ranging from £53,800 to £62,700 and London £59,200 to £69,000 per annum (Salary offered will be based on skills and experience)

• This role is graded as: Senior Associate, Regulatory

• Your external recruitment contact is Shafika via [e-mail]

• Your internal recruitment contact is [e-mail]

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.

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). The Sell-Side Directorate oversees wholesale banks, intermediaries, market infrastructure and exchanges, ensuring fair, transparent and resilient wholesale markets that support the effective functioning of the UK's financial system.

Role responsibilities

• Develop and deliver supervisory strategies across a portfolio of wholesale broker firms, aligning activities with regulatory priorities

• Develop and oversee supervisory workstreams from inception to completion, securing senior stakeholder agreement and driving successful execution

• Conduct thematic and multi‑firm reviews to assess firms’ governance, risk management frameworks, and operational resilience arrangements

• Directly supervise a portfolio of firms, taking ownership of complex supervisory cases, decisions, and regulatory interventions

• Assess and address issues relating to financial crime, market abuse, conduct risk, prudential resilience, and regulatory compliance

• Identify, investigate, and manage significant supervisory concerns, including serious misconduct allegations, business model risks, and potential firm failures.

• Build and maintain effective relationships with senior leaders at regulated firms to motivate, engage with, and support positive regulatory outcomes and also internal specialists across Policy, Market Monitoring, Prudential Supervision, Operational Risk, Financial Crime, Enforcement, and Legal teams

• Support the development of supervision strategies for colleagues’ portfolios, contributing specialist knowledge and regulatory insight.

Skills required

Minimum

• Prior experience of wholesale financial markets and regulation

• Prior experience exercising judgement in complex situations

• Prior experience in a role which has required strong written communication skills

Essential

• Knowledge of wholesale brokers, their business models and conduct risks arising from them, as well as of wholesale markets more generally

• The ability to assess complex information and form strong judgements

• Good awareness of the UK regulatory framework

• The ability to communicate with impact and influence at senior levels (in both verbal and written form)

• The ability to engage with a variety of internal and external stakeholders

Benefits

• 25 days annual leave plus bank holidays

• 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

• 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

• A flexible benefits scheme designed around your lifestyle

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

• Advert Close Date: 16th September 2026

• CV Review/Shortlist: 18th September 2026

• First Interview: W/C 28th September 2026

• 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