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DATE ADDED: Tue 10/09/2019

Senior Associate - Corporate Finance- Listing Transactions

London, UK


JOB TYPE: Permanent, FullTime

SALARY: £46,000 to £66,000

You will have a rare opportunity to understand and shape the workings of the financial sector at a time of considerable change. You will enjoy a unique insight into the full spectrum of the financial services industry, with the opportunity to have a real impact whilst working collaboratively towards a common goal alongside a range of internal and external stakeholders.

What does the role involve? What are the key responsibilities? 

The successful candidate will join the Transaction Review function and will get exposure to a wide range of issuers and transactions. The key responsibilities of the successful applicant are likely to include:

  • You will work in two-person case-teams assigned to review draft prospectuses and circulars for compliance with the Prospectus Regulation Rules and the Listing Rules, assess eligibility for listing and respond to written queries on the interpretation of the regime in novel and complex areas
  • Act as the first reader in the case team and will be responsible for preparing comments on the documents provided by the issuers and liaising with the issuers' advisers
  • You will be expected to develop into a senior reader with the knowledge and skills necessary to undertake responsibility for approving significant transactions and fundraisings in the London market

As a new joiner to the department, the successful candidate will be supported by senior readers within the team and will work closely with transaction managers.
The work of the team is market-facing, highly time critical, and can require difficult judgments to be made in pressured circumstances.

Please note that case review invariably required the team to digest a large amount of written information.

What will the candidate get from the role? 

As an Academy business we place great value on learning and at the FCA we offer world-class development opportunities which will assist you in achieving your career aspirations. and professional development, including our MSC in financial regulation, Advanced Managers programme, sponsored study and more.

Skills/Experience Required 


We’re a signatory to the Government’s Disability Confident scheme. This means that we will offer an interview to disabled candidates entering under the scheme, should they meet the minimum criteria for a role. A minimum criterion needs to be measurable from reviewing a candidate’s CV. Exceptions may apply if due to the volume of applications we are not able to interview all eligible candidates who qualify under the scheme.

  • Professionally qualified accountant or lawyer with corporate finance experience, or other corporate finance professional;
  • Experience working within either Corporate Finance and/or Mergers and Acquisitions


  • Experience of managing relationships with internal and external stakeholders.
  • Good attention to detail and strong analytical and verbal reasoning skills;
  •  Excellent communications skills, including written English;
  • A "can-do" attitude with the ability to work under pressure and manage a large workload;
  • The ability to maintain focus and high standards whilst working under pressure;
  • The ability to deal with people at all levels and build good working relationships;
  • Highly effective influencing skills, including delivering difficult messages;
  • A team player with the ability to work independently when required;
  • Strong organisational skills with the proven ability to prioritise work and escalate issues;
  • A positive attitude to dealing with external parties with a commitment to exceed external parties’ expectations; and
  • The ability to digest a large amount of written information and identify relevant issues from such information


  • Knowledge and experience of the Listing Rules and the Prospectus Regulation Rules or the broader European capital markets regulatory framework;
  • Wider experience of equity capital markets (ECM) and/or debt capital markets (DCM); and
  • Knowledge of closed and open-ended investment fund structures and asset management.

About the FCA 

At the FCA, we’re creating a fair and more resilient financial system. We’re establishing more transparent relationships between financial services and their customers, building trust in financial markets and protecting vulnerable consumers.

Divisional Information

The Market Oversight directorate is responsible for overseeing primary and secondary market activity through its role under the listing, market abuse and short-selling regimes. Market Oversight aims to discharge these responsibilities in a way which is proportionate, risk-focused and forward-looking, through education of the market, and using a range of tools and techniques. Our work protects consumers and delivers market integrity by ensuring high standards of market practice and appropriate disclosure so our markets will function well.

The Listing Transactions Department sits within the Market Oversight directorate. It is one of the two departments (the other is the Primary Market Oversight Department) which discharge the FCA's functions as a primary markets securities regulator (commonly referred to as the UK Listing Authority (UKLA)). These functions provide regulatory oversight of the UK's primary capital markets, and have a regulated community which includes issuers of publicly traded securities, sponsors and Primary Information Providers. The two departments are responsible for ensuring that this community complies with regulatory obligations contained in the FCA's Listing Rules, and discharges the FCA's responsibilities as the competent authority under the Prospectus Regulation, the Transparency Directive and parts of the Market Abuse Regulation.

Within the Listing Transactions Department teams are responsible for reviewing and approving prospectuses and circulars under the Prospectus Regulation Rules and the Listing Rules, for reviewing the eligibility for listing of applicants for the Official List, and for giving guidance on the Listing Rules and Prospectus Regulation Rules.

The work occurs against a background of corporate transactions by listed companies and other companies in the scope of our rules. Such transactions include: initial public offerings (IPOs), mergers and acquisitions, bond issuances, and other equity capital raising exercises. Our work extends beyond the corporate sector and includes the issuance of investment products in security form by financial groups. In carrying out our work we liaise with investments banks, law firms and other advisers to companies carrying out the transactions we scrutinise.

The FCA's Values & Diversity 

Our ambition is to create a diverse and inclusive workplace that reflects the society we serve, helping us to be a better regulator.

As an inclusive employer, we are open to considering flexible working arrangements. Please contact our recruiter if you wish to apply for this role on a flexible basis.

Useful Information 

  • This role is graded REG C
  • The salary range will be approximately £46,000 to £66,000 dependent on skills and experience plus a competitive benefits package and non-contributory pension
  • Applications for this role close on Sunday 22 September 2019