Senior Financial Promotions Case Worker

Financial Conduct Authority; Leeds; Hybrid; GBP 52,000 - 62,000; Full time

Job summary

A financial regulatory body in Leeds is seeking a Senior Associate in Financial Promotions to ensure compliance in financial promotions. You will handle casework, engage with stakeholders, and provide insightful analysis. Candidates should possess strong analytical skills, and the role offers competitive salary and hybrid working. Joining a supportive team, you will contribute to crucial regulatory functions.

Benefits

25 days holiday per year plus bank holidays

Hybrid working up to 60%

Private healthcare

8% non-contributory pension

Life assurance

Income protection

Qualifications

• Prior experience of making risk-based decisions.
• Experience engaging with stakeholders.
• Responsible for casework in a previous role.

Responsibilities

• Review promotions for compliance with rules.
• Carry out casework related to financial promotions.
• Answer queries and provide recommendations.

Skills

Analytical skills

Stakeholder engagement

Risk-based decision making

Prioritization

Flexibility to change

Job description

Overview

Division – Financial Promotions

Salary - National (Edinburgh and Leeds) ranging from £52,400 to £61,700; London ranging from £57,700 - £67,000 per annum (Salary offered will be based on skills and experience).

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.

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, including 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

What will you get from the role?

• Experience of a broad range of interesting and challenging cases, projects and policy work across all sectors
• Development of knowledge of a specialist area of the FCA Handbook
• Interesting work that delivers tangible benefits to consumers
• The opportunity to work with a range of colleagues in other FCA business areas
• The chance to build and maintain relationships with key internal and external stakeholders in order to develop the team’s objectives
• The opportunity to work in a friendly, supportive team environment where you will be encouraged to develop and progress

Which skills are required?

We are a Disability Confident Employer; therefore, disabled people or individuals with long-term conditions who best meet the minimum criteria for a role will go through to the next stage of the recruitment process. (To learn more about the Disability Confident Scheme, click Here)

Minimum

• Prior experience of making risk-based decisions and prioritisation ensuring the most important work is done
• Prior experience engaging with stakeholders internally and externally
• Prior experience in a role where you were responsible for case work

Essential

• Good analytical skills and judgement - the ability to analyse information quickly and effectively and identify and present key issues in a clear and timely manner
• The ability to work with key stakeholders and build good relationships
• The ability to respond positively to challenges and to adopt a flexible approach to change, adapting working styles accordingly
• The ability to manage a variety of competing tasks and issues, working both independently and as part of a team, prioritising appropriately and escalating where necessary
• Ensuring work produced is of the highest standard
• Ability to demonstrate ownership of, and responsibility for, work on an ongoing basis

Our Values & Diversity

We are proud to be an inclusive employer and our ambition is to cultivate a culture for all employees that respects their individual strengths, views, and experiences. We believe that our differences and similarities enable us to be a better organisation – one that makes better decisions, drives innovation, and delivers better regulation.

Within the workplace you will have access to various employee resource groups which aim to promote and achieve a healthy work / life balance and support our diversity ambitions.

Did you know? 50% of our Executive Committee were the first in their family to attend university.

Benefits Of Working At The FCA

• 25 days holiday per year plus bank holidays
• Hybrid working (work from home up to 60% of your time)
• Private healthcare with Bupa
• A non-contributory Pension of at least 8% of basic salary each month (contribution levels increase with age – up to 12% a month once you reach age 35)
• Life assurance of eight times your basic salary
• Income protection

We also have a flexible benefits scheme to create a personalised package. We welcome applications from candidates seeking flexible arrangements.

Follow this link to see what life is like at the FCA - Life at the FCA

Application Support

We are dedicated to removing barriers and ensuring our application process is accessible to everyone. We offer adjustments to make your application experience comfortable and straightforward.

If you have an accessibility need, disability, or condition requiring changes to the recruitment process, please contact your recruiter to discuss options.

Useful Information and Timeline

• This role is graded as Senior Associate
• Advert Closing Date: 16 October
• CV Review/Shortlist: 20 October
• Case Study Assessment: Week commencing 20 October
• Competency Based Interview: Week commencing 3 November

Your Recruiter will discuss the process in detail during screening; please inform them if you are unavailable for any date.

Seniority level

• Mid-Senior level

Employment type

• Full-time

Job function

• Other

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