Problem Firms

4 weeks ago

London, United Kingdom Financial Conduct Authority Full time

Problem Firms Associate Level 8

Background

The FCA's Enforcement function (part of the Enforcement & Market Oversight Division) investigates serious breaches of regulatory standards, including the minimum standards for continued authorisation for firms (the Threshold Conditions) and for individuals (FIT).

As part of the FCA Strategy, we have announced our plans to hire 80 new colleagues to focus on shutting down problem firms, which do not meet basic regulatory standards. Removing those firms will allow us to protect consumers from potential fraud and mistreatment and will create a better market. The Problem Firms Team are building the strategic approach to this crucial work.

The Problem Firms Team sits in Retail 4 within Retail & Regulatory Investigations in Enforcement.

Retail 4 currently consists of five critical FCA teams: Relationship Management and Strategy (overseeing the pipeline of referrals to Retail investigations and being responsible for our engagement strategy with internal and external stakeholders), Interventions (supporting the FCA’s desire to intervene assertively when ongoing harm is detected), two Threshold Conditions Teams, encompassing the Use It or Lose It initiative and the Problem Firms Team.

What does this job involve?

This is a varied role working as part of the Problem Firms core team. It will involve:

- Assisting with the development of the cross-organisation Problem Firms strategy.
- Assisting with the development of the proactive detection workstream which will identify firms failing to meet Threshold Conditions and/or causing consumer harm.
- Analysing data from a wide range of sources to identify relevant and suitable cases to be considered for Cancellation/Intervention action.
- Being responsible for a case portfolio including firm cancellation and prohibition, progressing these cases along with agreed timescales where appropriate.
- Liaising with TCT, Interventions and RMST when required and referring cases where appropriate.
- Acting as a principal point of contact when engaging with firms and internal stakeholders
- Conducting checks on FCA systems, databases, and public data.
- Preparing correspondence to firms, dealing with firms on the telephone and preparing formal committee papers to recommend further action with supporting evidence.
- Drafting process guides and case template documentation to be used for business as usual for new case types.
- Assisting with development and testing of new technology solutions.
- Contributing to a positive, supporting and proactive working culture by sharing knowledge and expertise both locally and across the organisation.
- Building relationships with internal stakeholders.

The opportunity to:

- A chance to develop and enhance your abilities and knowledge through exposure to novel problems and the opportunity to use your professional skills in complex situations
- A challenging, interesting and diverse portfolio of work, working with colleagues with varied skills from across the organisation.
- Opportunity to develop stakeholder engagement skills, influencing and challenging where necessary
- Executive Decision Maker, RDC and Tribunal experience
- Work on a high profile project with strong reach across the organisation.

Skills/Experience Required

Minimum
- Experience in any of the following areas: financial markets; regulatory investigations; investigations involving serious fraud or other complex financial crime; complex litigation or disputes.
- Experience in working in an office environment and using the MS Office Suite including, outlook, excel etc.
- Professional experience of drafting and preparing formal written communications.

If you are a lawyer applying, please ensure you are a Qualified lawyer, with a valid practising certificate issued by the Solicitors Regulation Authority for England and Wales (if a solicitor), or the General Council of the Bar for England and Wales (if a barrister)

Essential criteria
- Sound IT skills, including Word and Excel
- Highly organised with the ability to work as a team player
- Strong communication skills to present the outcome of analysis clearly and effectively, orally and in writing
- Ability to assess and analyse complex evidence, including financial statements and business plans to form a view as to what action is warranted, what further evidence may be required/available and how it might be obtained
- Ability to work on own initiative
- Attention to detail, particularly in working with a high volume of cases
- Ability to work under pressure and to tight deadlines, whilst maintaining accuracy
- Ability to multi-task, prioritise and manage time effectively
- Flexibility and willingness to take on new tasks and responsibilities and to adapt to change
- Ability to make timely decisions based on relevant analysis, exercising judgement on the evidence and being able to defend those judgements where appropriate
- Possesses ability to thrive whilst managing a varied, dynamic

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