Lead Associate in Financial Promotions

3 weeks ago

London, United Kingdom Financial Conduct Authority Full time

Background

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.

HM Treasury has indicated that it intends to bring the promotion of certain qualifying cryptoassets into the financial promotions regime. This will significantly increase the workload of the department.

We have an opportunity for individuals with cryptoasset experience to join the Proactive Monitoring Team.

What does the role involve?
- Working in partnership with the manager and leadership team to proactively plan, prioritise and allocate supervisory work.
- Meeting key deliverables and maintaining team and own wellbeing in the process.
- Contributing to continuous improvement to deliver better outcomes and more efficient use of our resources.
- Oversee the work of the team to ensure timely progress is made to achieve our desired supervisory outcomes.
- Delivery of supervisory projects and other initiatives, including: the development of strategies & processes; planning; methodology development; and execution.
- Delivering proactive monitoring and reactive casework for financial promotions relating to non-standard investments (NSI) and cryptoassets, issuing warnings and engaging with external stakeholders to take down problem websites.
- Making good regulatory decisions that further the FCA’s objectives.
- Exploring, analysing and mitigating identified risks within firms in our sectors through firm specific casework.
- 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.
- Contributing to the implementation of the evolving supervisory approach and the embedding of new behaviours and culture aligned with the FCA Mission.
- Building, maintaining and developing effective relationships with stakeholders both internally and externally.
- Contributing to the wider departmental / divisional objectives.
- 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 will you get from the role?
- The opportunity to join an innovative, high-profile, fast-paced department dealing with unique and challenging issues and firms.
- Be at the forefront of the development and implementation of the FCA’s assertive intervention strategy. Help shape the future of conduct regulation in the UK and achieve better consumer outcomes.
- Work in a collaborative, inclusive and learning environment.
- Delivering through others, by bringing your experience and judgement to bear to support and develop colleagues.

About You

Minimum criteria
- _Any disabled applicant meeting the minimum criteria will automatically progress to interview stage, should they enter under the _
- Disability Confident scheme_
- . For more information on the FCA’s commitment to building a diverse and inclusive workforce, including guidance on drafting criteria, please refer to the _
- FCA’s Positive Action Framework._
- Strong written and verbal communication skills, communicating in a clear and concise manner.
- Experience of making timely risk-based decisions with clear justification and putting an appropriate strategy in place.
- Experience of supporting or mentoring others.
- Experience of leading and delivering through others.
- Experience of building strong relationships with both internal and external stakeholders at all levels.

Essential criteria
- 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 and prioritise accordingly.
- Ability to influence and negotiate while maintaining the integrity of the issues that need to be conveyed.
- Willingness to learn and develop, taking on new responsibilities and adopting a flexible and pragmatic approach to your work.
- Good un

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