Senior Case Officer

Requirements of the role

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

View on member website