Financial Promotions Supervisor

6 months ago

London, United Kingdom Financial Conduct Authority Full time

Financial Promotions Supervisor (Projects, Strategy & Engagement)

Location

London / Leeds / Edinburgh

Salary

National ranging £49,700 - £65,000 and London £53,300 - £70,000

Role Information

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 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

The Engagement & Strategy team has responsibility for the delivery of strategic initiatives and project work to address the drivers of harm in the financial promotions, high risk investment and scams arena. This work includes development of the crypto and Section 21 approvers supervisory strategies. We work closely with colleagues across the FCA to develop end-to-end solutions to regulatory problems. We are also responsible for the identification, tracking and mitigation of emerging risks - particularly those that cross-FCA sectors.

What you will be doing

This role will involve:
- Assessing notifications from s.21 permitted approvers, who approve promotions from unauthorised firms, to ensure good regulatory outcomes that further the FCA's objectives- Delivery of supervisory projects and other initiatives, including: the development of strategies & processes; planning; methodology development; and execution- 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- Building, maintaining and developing effective relationships with stakeholders both internally and externally- Supporting more junior members of the team through coaching and mentoring- Championing the development and maturity of our cross-firm view of potential harm across the divisions - joining the dots with the sector teams, fixed supervisors and leads of the relevant flexible firm portfolios

What you will get from the role- The opportunity to join an innovative high-profile, fast-paced department dealing with unique issues and firms- Be at the forefront of the development and implementation of the FCA’s intervention strategy- Directly influence firms and sectors, and potentially impact the outcomes experienced by the consumers of these firms- Work in a collaborative, inclusive and learning environment

As an employer, the FCA places great value on your learning, and we offer world-class development opportunities which will assist you in achieving your career aspirations. We can support professional qualifications in data science or financial analysis for a motivated individual, depending on your individual profile.

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 office locations.

Which skills are required?

MinimumExperience of analysing, and making decisions based on, complex information from various sources- Strong stakeholder management experience- Experience of either financial promotions, firm supervision, or the investment sector, gained through industry or regulatory experience

Essential- Judgement - ability to think clearly, analytically and rigorously about how best to assess and validate risks of harm and reach robust risk-based judgements, including under pressure- Flexibility - comfortable working in an uncertain and fluid environment where there may be mínimal established process or precedent- Good understanding of conduct risk, consumer behaviour and the drivers of potential harm and poor consumer outcomes- Teamwork and collaboration - ability to work effectively with others as part of a team in order to achieve desired outcomes- Engagement - excellent communication skills both written and oral: ability to build effective working relationships with key internal and external stakeholders ability to communicate key messages and explain complex issues in a clear and concise manner- Organisational ability - ability to work under pressure, manage a variety of work streams and issues and prioritise accordingly

About the FCA

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