Senior Case Officer

Division – Authorisations

Department – Consumer Investment and Appointed Representatives

Team – Investment Intermediaries

Salary - National (Edinburgh and Leeds) ranging from £52,400 to £63,800 and London £57,700 to £70,000 per annum (Salary offered will be based on skills and experience)

About The FCA

The FCA regulates the conduct of 45,000 firms in the UK to ensure our financial markets are honest, fair and competitive. Follow this link to find out more About the FCA.

We are recruiting a Senior Case Officer to join the Consumer Investment and Appointed Representatives department within the Authorisations division at the FCA. The role is in one of our Investment Intermediary teams.

The role is based within the Investment Intermediaries team, which assesses applications for authorisation across multiple sectors (portfolios), including Wealth Managers, Financial Advisers, Investment Crowdfunders, Peer to Peer firms, Investment Platforms and SIPP operators.

The role will involve demonstrating your ability to prioritise case work alongside other project work, proactively identify risks through your work and take the lead in sharing these, and other insights with the department and other parts of the organisation. You will role model service excellence in interactions with firms, individuals and colleagues. You will demonstrate that you can confidently and effectively engage with senior stakeholders, demonstrating influence, providing and handling effective challenge.

What will you be doing?

• The opportunity to manage your own caseload of applications in a well-organised, time-sensitive manner whilst keeping appropriate records, whilst assessing them against 'threshold conditions'
• The opportunity to make recommendations and choices in a manner which mitigates against risks of harm for consumers and markets, in line with FCA objectives
• The opportunity to apply experience and judgement, working well with internal stakeholders and resources (e.g. in Enforcement, Supervision, etc.) and having robust conversations with firms, communicating in a clear and concise manner
• The opportunity to determine applications in an efficient and effective manner in line with the required service levels, and quickly identifying and acting upon ineligible or inappropriate applications
• Collaborating with colleagues, sharing knowledge and learning from others and giving coaching and support to less-experience colleagues, both informally and formally, over time
• The opportunity to take the lead on departmental projects, contributing to project-work across the organisation, whilst working on a broad range of more complex cases
  
  

What will you get from the role?

• Be at the forefront of regulatory change; be able to directly shape and influence FCA’s response to risks of harm at a time of considerable change in the financial sector
• Work for a leading regulator and in a division that is investing extensively into its people and systems development
• Opportunity to further build your stakeholder management skills and regulatory knowledge via frequent interaction with FCA stakeholders
• Exposure to breadth and depth of business models and complex regulatory matters across sectors
• Opportunity to work with, learn from and influence a wide range of industry professionals and senior FCA management
• A unique perspective and understandable of the financial services industry, with the opportunity to do meaningful work that makes a real difference to firms and consumers
  
  

Which skills are required?

We are a Disability Confident Employer; therefore, disabled people or individuals with long-term conditions who best meet the minimum criteria for a role will go through to the next stage of the recruitment process. (To learn more about the Disability Confident Scheme Click Here)

Minimum

• Proven experience managing multiple cases, with competing priorities, using your own initiative to develop and deliver case strategies and prioritise work to ensure deadlines are met
• Prior experience of analysing complex regulatory information, large volumes of data, identifying key risks, making judgements, retaining strong records and presenting key issues and recommendations to management
• Prior industry experience in one of the Consumer Investments sectors and/or a relevant professional qualification(s)
  
  

Essential

• Ability to communicate clearly and proactively, identifying and managing key stakeholders and develop a network of relationships you can draw upon
• Willingness to learn and develop, taking on new responsibilities and adopting a flexible approach to your work, whilst also coaching or mentoring others
• A good team player who demonstrates an inclusive, can-do, problem-solving approach, with the ability to work both collaboratively and independently
• Experience of contributing to projects and working to service level agreements with the ability to act on your own initiative, to make logical and timely decisions with the bigger picture in mind
• Ability to influence and deliver shared goals, whilst making decisions where there is no single right answer
  
  

Our Values & Diversity

We are proud to be an inclusive employer and our ambition is to cultivate a culture 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.

Within the workplace you will have access to various employee resource groups which aim to promote and achieve a healthy work / life balance and support our diversity ambitions.

Did you know? 50% of our Executive Committee were the first in their family to attend university.

Benefits Of Working At The FCA

• 25 days holiday per year plus bank holidays
• Hybrid working (work from home up to 60% of your time)
• 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 also have a competitive flexible benefits scheme which gives you the opportunity to create a personalised benefits package, tailored to suit your lifestyle.

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 can explore what might work best for both sides.

Follow this link to see what life is like at the FCA - Life at the FCA

Application Support

We are dedicated to removing barriers and ensuring our application process is accessible to everyone. We offer a range of adjustments to make your application experience as comfortable and straightforward as possible.

If you have an accessibility need, disability, or condition requiring changes to the recruitment process, please contact your recruiter using the details below and they will be happy to discuss this further with you.

Useful Information and Timeline

• This role is graded as Senior Associate - Regulatory
• Advert Closing Date: Sunday 21st September (midnight)
• CV Review/Shortlist: Tuesday 23rd September
• First Round Case Study and Interview: W/C 29th September
  
  

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.

Got a question?

If you are interested in learning more about the role, please contact: [email protected]

Applications must be submitted through our online portal. Applications sent via email will not be accepted.