Senior Financial Promotions Case Worker

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.

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:

• Non-compliant financial promotions issued by authorised firms
• Unauthorised activity, scams, fraud and breaches of the Financial Promotions Order by unauthorised entities
• Scams and high-risk, non-standard investments where authorised firms are involved in the production and distribution of products.
• Other unregulated activity conducted by authorised firms that has the potential to cause significant customer harm and financial loss

What will you be doing?

• 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
• Carry out casework, including understanding and identifying relevant financial promotion rule breaches and communicating these to firms
• Answer queries relating to the financial promotions regime and provide answers or recommendations for decision making, which will include assisting supervisors with queries
• Provide support to colleagues on project and policy work through assessing financial promotions, conducting research or running reports for review
• Draft letters to firms and/or consumers, tailoring the message appropriately to suit the audience
• Assist supervisors and portfolio leads through conducting portfolio analysis and inputting into planned communications to sectors/firms

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