Financial Services Regulatory Risk Assessment Team

2 weeks ago

London, United Kingdom Financial Conduct Authority Full time

Financial Services Regulatory Risk Assessment Team - Senior Triage Assessor

Location

London / Leeds / Edinburgh

Salary

National ranging £49,900 - £53,300 and London from £53,300 - £58,000

We are currently looking to recruit three Senior Associates into the Event Supervision Team.

The Team

Event supervision’s work covers the breadth of regulated financial services. The team has two primary responsibilities - the initial assessment of all flexible firm risk events and ensuring that all flexible firms continue to meet the FCA’s minimum requirements.

This role sits within the case assessment team, which is responsible for triaging a significant number of potential events each year and making recommendations to stakeholders across the FCA about the best next course of action. The issues which come to our attention range from firms breaching capital requirements, to fraud and financial crime.

In executing our duties, collaboration with internal stakeholders is essential, necessitating regular interaction with Supervision, Enforcement, Financial Crime, and Policy teams. Furthermore, the team actively interfaces with external entities such as the Financial Ombudsman, the Financial Services Compensation Scheme (FSCS), and regulated firms, fostering a comprehensive approach to regulatory oversight.

What you will be doing- Act as gatekeeper to Supervision, assessing and prioritising all referrals from the Supervision Hub and the rest of the business against the divisional risk framework and tolerances, escalating to the Portfolio teams where appropriate- Manage and work independently on your own portfolio of cases, conducting thorough analysis of information and data to make effective judgements and working with firms to mitigate risks, ensuring consumers are protected and poor behaviour is rectified- Build and manage strong, collaborative relationships with stakeholders across the FCA to deliver agreed outcomes on cases and contribute to the wider strategic decisions on the flexible firm supervision model.- Regularly review processes and performance to identify and implement better ways of working- Share knowledge and coach colleagues as and where appropriate

What will you get from the role

You will have the opportunity to:
- Help influence the division’s supervisory strategy and implement sector-based risk tolerance- Develop knowledge and understanding of different sectors and understand the priority risks across sectors- Develop contacts with areas across the FCA, and understand how they work- Tackle a challenging, interesting and varied portfolio of complex work- Gain experience of a wide range of flexible portfolio firms, systems and processes

Core benefits that you will receive as standard are:
- 25 days holiday per year plus bank holidays (pro-rata)- Private healthcare with Bupa- A non-contributory Pension of at least 8% of basic salary each month (there are several contribution levels that increase depending on your age - up to 12% a month once you reach age 35)- Life assurance of eight times your basic salary- Income protection

We support hybrid working which means you will be able to work from home up to 60% of the time over a month with the remainder of your time in one of our three offices.

The skills and experience you will have

Minimum- Prior experience in a role which has required a strong understanding of the FCA’s approach to supervision and its supervisory objectives- Experience of the supervisory requirements placed on firms- Proven experience of being able to analyse large amounts of complex financial and non-financial information, identify risk and present key issues and solutions

Essential- Proven experience of making difficult decisions supported by appropriate rationale- The ability to prioritise your workload, manage your time effectively and use sound judgement to achieve results in a high-pressure environment- Have a ‘can do’ attitude with the ability to be adaptable, flexible and to deal with change in a positive way- A strong team player who has a positive influence on colleagues- Proven experience of identifying, engaging and positively influencing internal and external stakeholders to deliver successful outcomes- Proven experience of identifying the need for change, driving forward and implementing improvements- Able to link analysis of complex conduct risks to pragmatic and effective mitigation tools and develop appropriate monitoring- Able to present yourself and the FCA in a professional and credible manner

About the FCA

The FCA regulates the conduct of 50,000 firms in the UK to ensure our financial markets are honest, fair and competitive. We do this to make sure markets work well for individuals, businesses and the economy as a whole. For more information on what we do, our three-year strategy can be found

here.

The FCA's Values & Diversity

Our ambition is to cultivate a culture of inclusion for all employees that respects their individual stren

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