Senior Financial Promotions Case Worker
Division – Financial Promotions
Salary - National (Edinburgh and Leeds) ranging from £52,400 to £61,700 London ranging from £57,700 - £67,000 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.
The Financial Promotions & Enforcement Taskforce (FPET) is a department that straddles the FCA’s regulatory perimeter. The department has a wide remit covering both authorised and unauthorised activities in all sectors. FPET’s overarching role is to reduce harm arising from:
1. Non-compliant financial promotions issued by authorised firms
2. Unauthorised activity, scams, fraud and breaches of the Financial Promotions Order by unauthorised entities
3. Scams and high-risk, non-standard investments where authorised firms are involved in the production and distribution of products.
4. Other unregulated activity conducted by authorised firms that has the potential to cause significant customer harm and financial loss
What will you be doing?
5. Review referrals received from consumers and other stakeholders into the team inbox, and proactively review current promotions for compliance with our rules, on a rota-basis
6. Carry out casework, including understanding and identifying relevant financial promotion rule breaches and communicating these to firms
7. Answer queries relating to the financial promotions regime and provide answers or recommendations for decision making, which will include assisting supervisors with queries
8. Provide support to colleagues on project and policy work through assessing financial promotions, conducting research or running reports for review
9. Draft letters to firms and/or consumers, tailoring the message appropriately to suit the audience
10. Assist supervisors and portfolio leads through conducting portfolio analysis and inputting into planned communications to sectors/firms
What will you get from the role?
11. Experience of a broad range of interesting and challenging cases, projects and policy work across all sectors
12. Development of knowledge of a specialist area of the FCA Handbook
13. Interesting work that delivers tangible benefits to consumers
14. The opportunity to work with a range of colleagues in other FCA business areas
15. The chance to build and maintain relationships with key internal and external stakeholders in order to develop the team’s objectives
16. The opportunity to work in a friendly, supportive team environment where you will be encouraged to develop and progress
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
17. Prior experience of making risk-based decisions and prioritisation ensuring the most important work is done
18. Prior experience engaging with stakeholders internally and externally
19. Prior experience in a role where you were responsible for case work
Essential
20. Good analytical skills and judgement - the ability to analyse information quickly and effectively and identify and present key issues in a clear and timely manner
21. The ability to work with key stakeholders and build good relationships
22. The ability to respond positively to challenges and to adopt a flexible approach to change, adapting working styles accordingly.
23. The ability to manage a variety of competing tasks and issues, working both independently and as part of a team, prioritising appropriately and escalating where necessary.
24. Ensuring work produced is of the highest standard.
25. Ability to demonstrate ownership of, and responsibility for, work on an on-going basis
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
26. 25 days holiday per year plus bank holidays
27. Hybrid working (work from home up to 60% of your time)
28. Private healthcare with Bupa
29. 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)
30. Life assurance of eight times your basic salary
31. 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
32. This role is graded as Senior Associate
33. Advert Closing Date: 16th October
34. CV Review/Shortlist: 20th October
35. Case Study Assessment: Week commencing 20th October
36. Competency Based Interview: Week commencing 3rd November
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:
Riley Fox at k
Applications must be submitted through our online portal. Applications sent via email will not be accepted.