Senior Case Officer

Requirements of the role

We regulate financial services firms in the UK, to keep financial markets fair, thriving and effective. By joining us, you’ll play a key part in protecting consumers, driving economic growth and shaping the future of UK finance services.

SPC oversees firms and individuals (supervision), creates and reviews the rules by which they operate (policy) and identifies and remedies ineffective competition in markets (competition).

Sitting in the Consumer Investments (CI) directorate, FPET (Financial Promotions and Enforcement Taskforce) brings together expertise from Enforcement and Supervision to tackle issues across the FCA’s full perimeter – including crypto, high-risk investments and consumer credit – with a unique focus on unregulated firms, delivering work aligned to key Public Commitments.

Role responsibilities

• Manage a varied caseload of unauthorised business investigations, including assessing reports, taking action to resolve matters and issuing public alerts where appropriate
• Provide technical expertise on the Financial Services and Markets Act 2000 (Regulated Activities) Order and related perimeter legislation
• Draft complex correspondence and decisions on breaches of the regulatory perimeter
• Advise colleagues across the FCA on unauthorised business issues and regulatory boundaries
• Oversee and mentor more junior team members, ensuring effective case progression and escalation of high-risk matters
• Build and maintain relationships with internal and external stakeholders, including law enforcement, Trading Standards and other regulatory bodies
• Contribute to the FCA’s strategic approach to tackling unauthorised business through data analysis and management information (MI)
• Support the delivery of cross-cutting FPET and Consumer Investments projects that reduce consumer harm and shape regulatory policy

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