Case Evaluation Team

2 weeks ago

Edinburgh, United Kingdom Financial Conduct Authority Full time

The FCA is responsible for regulating the conduct of 50,000 firms and we’re focused on creating a fair and more resilient financial system.

We are a diverse organisation and aim to be representative of the whole UK. We want to reflect the society we serve better, we want the best people to work for us and we want our workplace to be inclusive.

Our people are integral to our success. All of our 3,000 plus people are committed to delivering in the interests of consumers and ensuring they receive the good outcomes they should when using financial services in the UK. Working at the FCA feels different to working at many other organisations. The issues our people deal with on a daily basis can often be in the news and have implications for everyone in the UK. This makes working here an incredibly satisfying role. For many, this sense of making a contribution to the public good is one of the most rewarding aspects of our work. As a result, there is a strong culture of support within teams and across the organisation to deliver our priorities.

We are currently recruiting for an Associate to join our Case Evaluation Team (CET) in the Advisers, Wealth & Pensions (AWP 1) Department which sits within the Consumer Investments (CI) Directorate. The team acts as the gateway for reactive cases coming into the division ensuring these are initially assessed, scored, and escalated where appropriate.

Who are we looking for?

We are looking for an assertive, curious and focused individual who is willing to learn about financial services regulation. You will have:

- Good analytical and problem-solving skills, and sound judgement.
- The ability to process and interpret information quickly and work collaboratively as part of a team.
- Effective communication skills and the ability to influence others
- The ability to manage a number of priorities

What does the job involve?

CET receives a high inflow of reactive cases and we must ensure they are triaged efficiently and allocated appropriately across CI, taking account of the merits of each case, the wider view of the firm and the priorities of the portfolio teams.

We are looking for someone with sound judgement who can work at pace making decisions about what work we should take forward and manage a reactive caseload of lower scored issues.

The roles involves:

- Assisting with making good regulatory decisions that further the FCA’s objectives.
- Analysis of the business models/strategies of firms, and identifying how conduct risks could cause harm to consumers and/or markets
- Ensuring firms behave appropriately when detriment arises.
- Utilising a range of supervisory tools to ensure firms have the interests of their customers, and the integrity of the market, at the heart of how they run their business.
- Developing strong constructive working relationships across the directorate and with firms

What will I get from the role?
- An opportunity to make everyday decisions about what work we take forward
- An exciting environment with a broad variety of work
- A unique insight into the workings of firms across the consumer investments sector
- The opportunity to work with a variety of stakeholders
- Exposure to a breadth of issues
- As an Academy business, we place great value on your learning, and we offer world-class development opportunities which will assist you in achieving your career aspirations. Our Academy offers you a range of opportunities for personal and professional development, including our MSC in financial regulation, Advanced Managers programme, sponsored study and more.

About you

Minimum
- Experience building strong relationships with both internal and external stakeholders at all levels.
- Experience of making timely risk-based decisions with clear justification
- Clear and concise written communication skills

Essential
- Stakeholder management: you can build effective working relationships to support the delivery of supervisory objectives, flexing your style to build consensus and influence a range of diverse stakeholders
- Strong sense of accountability: you take ownership of problems and drive forward pragmatic action-based solutions
- Organisational skills and prioritisation: you can effectively manage competing priorities, which may change at short notice, and be able to adapt to change
- Ability to influence and negotiate while maintaining the integrity of the issues that need to be conveyed.

Desirable
- A good understanding of the FCA’s approach to supervision: including risk management and prioritisation approaches
- A sound understanding of the financial advice sector: including knowledge of investment/pension products and services, and the key risks posed by firms in the sector.
- Understanding of FCA tools and powers: you will need to consider how we might be able to use our tools and powers to support our assertive supervision

The FCA's Values & Diversity

Diversity, equity and inclusion is central to how we act both as an employe

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