Case Officer – Appointed Representatives Team, Authorisations

Financial Conduct Authority

Regulating financial services firms and financial markets in the UK, https://www.fca.org.uk/careers


Requirements of the role

We have a Case Officer role within the Appointed Representatives (AR) team in the Consumer Investments and Appointed Representatives department within Authorisations. Authorisations is the first point of contact for firms and individuals who want to undertake regulated financial services activity in the UK.

 

The AR teams assess:

  • notifications from authorised firms to add, change or terminate AR relationships; and
  • applications from individuals to be approved to hold controlled functions within those ARs

 

You will be using your technical expertise, judgement, and stakeholder management skills to make sure we identify and take effective action to manage risks to consumers. This will be achieved through managing notifications and applications from principal firms looking to on board Appointed Reps and working towards making the correct regulatory outcomes. We receive around 20,000 cases each year.

 

The team also plays an important role in delivering the FCA’s public commitment of strengthening the oversight of AR’s by conducting robust assessments at the regulatory gateway and implementing an “enhanced gateway” strategy. The role will involve supporting on projects/ improvement initiatives within the team or department.

 

You will be joining a dynamic team made up of Senior Associates and Associates at level 8 and level 9.

 

What you will be doing

 

As a Case Officer your duties on a day-to-day basis will include

  • Assess and mitigate harm arising at the gateway using experience, knowledge, and judgement to make recommendations and decisions
  • Managing a large and varied caseload ensuring relevant deadlines are met
  • Collaborating with colleagues, sharing your knowledge, and learning from others, liaising with internal and external stakeholders to progress applications e.g., Supervision, Enforcement, overseas regulators and the applicant itself
  • Using influencing skills, communicating assertively with firms to support and resolve any issues
  • Identifying and delivering difficult messages to applicant firms and/or external stakeholders
  • Drafting clear and concise case decision notes, firm correspondence, and case reports’ presenting information at case surgeries and to management in case reviews


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 Location

Edinburgh, Leeds, London

 Contract type

Full time, Permanent

 Profession

Case Officer, Finance


 Working pattern

Flexible working, Hybrid

 Closing Date

16/06/2024