Senior Wholesale Brokers Supervisor

Overview

In this role, you will lead supervisory work with a portfolio of wholesale broker firms to ensure fair, transparent markets and robust governance. You will collaborate with policy, market monitoring, and enforcement functions to address conduct risk, financial crime, and resilience. The role combines strategic supervision design with hands-on case management and senior stakeholder engagement. You will help shape regulatory outcomes and support positive outcomes for the UK financial system. This is an opportunity to influence wholesale markets at a high impact, within a collaborative regulator culture.

Pay / Benefits

• 25 days annual leave plus bank holidays
• Non-contributory pension (8–12%) and life assurance at eight times salary
• Private healthcare with Bupa
• Income protection
• 35 hours volunteering annually
• Flexible benefits scheme

Responsibilities

• Develop and implement supervisory strategies for wholesale broker firms aligned with regulatory priorities
• Lead supervisory workstreams from inception to completion, securing senior stakeholder agreement
• Perform thematic and multi-firm reviews of governance, risk management, and operational resilience
• Directly supervise a portfolio of firms and handle complex supervisory cases and interventions
• Assess issues related to financial crime, market abuse, conduct risk, prudential resilience, and compliance
• Investigate and manage significant supervisory concerns, including misconduct and business model risks
• Build relationships with senior leaders at regulated firms to foster regulatory outcomes
• Collaborate with internal specialists across Policy, Market Monitoring, Prudential Supervision, Operational Risk, Financial Crime, Enforcement, and Legal
• Contribute to the development of supervision strategies for colleagues’ portfolios with regulatory insight

Key requirements

• Experience in wholesale financial markets and regulation
• Judgement in complex situations
• Strong written communication skills
• Knowledge of wholesale brokers, business models, conduct risks, and wholesale markets
• Ability to assess complex information and form sound judgements
• Good awareness of the UK regulatory framework
• Impactful verbal and written communication with senior levels
• Stakeholder engagement with internal and external parties

• effective communication
• stakeholder management
• influencing at senior levels
• wholesale brokers and market conduct knowledge
• risk assessment and judgement
• regulatory framework understanding

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