Case Officer, Authorisations

Requirements of the role

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 Authorisations Division is the first point of contact for firms and individuals who want to undertake regulated financial services in the UK. We make decisions about applications for authorisations, ensuring firms and individuals meet our standards.

There are several Departments in the Division, one of which is the Approved Person and Mutuals (APM) Department. APM is a very busy and dynamic department comprising several teams of Case Officers managing high volumes of applications that vary in terms of their complexity.

Casework teams in APM assess applications from firms for individuals to perform senior manager functions and determine their fitness and propriety under our regime.

We are looking for two Case Officers to join a high performing team. Our Case Officers have responsibility for assessing and managing senior manager applications from firms through to decision in a timely manner and in doing so, helping to prevent harm to consumers and markets.

What will you be doing?

You will be responsible for assessing applications from firms for individuals to perform senior manager functions (e.g., Directors, CEOs, Board Chairs/Directors and Chief Risk Officers) and determine their fitness and propriety under the Senior Managers & Certification Regime.

This is a crucial role, as the individuals related to the applications that you will be assessing often play a key role in shaping the culture at their firm and consequently, the wider financial services industry. Ensuring these individuals meet our standards at the point of Authorisation (and beyond) is key to helping ensure that financial markets work well and that consumers are adequately protected.

Successful candidates will handle a varied portfolio of applications and use their curiosity and drive to assess them, investigate related issues and take appropriate action to ensure that the right outcome is achieved in a timely manner, in line with our policies and procedures.

In doing so you will work closely with a range of senior internal stakeholders (and the applicant firms themselves) to reach a determination in each application. For certain applications, this may also involve the need for you to conduct a competency-based interview with the individual concerned.

In addition, you will be proactive in getting involved a variety of Departmental and Divisional-wide activities and initiatives, collaborating and supporting colleagues to ensure the Authorisations gateway (through which applications are received) is sufficiently robust, efficient, and effective.

View on member website