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.

The Complex Case Team (“CCT”) is responsible for leading complex casework that straddles the perimeter between the unauthorised and authorised space. These cases will typically involve authorised firm(s) undertaking unregulated activity related to (i) high-risk investments (such as mini-bonds), (ii) potential scams, and/or (iii) other unregulated activity that has the potential to cause significant customer harm and financial loss.

Often this casework will involve a “network” of authorised and unauthorised firms who are working together to cause customer harm. The CCT will lead cases against the authorised firm(s) involved but will co-ordinate closely with Unauthorised business teams where there are also unauthorised firms involved to ensure a co-ordinated approach.

The remit of the CCT is to intervene assertively, and quickly, to prevent customer harm. The CCT has regular close engagement with Enforcement to pursue interventions.

What does the job involve?
- Delivery of complex supervisory cases involving scams, high-risk investments, cryptoassets and other unregulated activity by authorised firms that has the potential to cause significant customer harm.
- Developing and contributing to the development of assertive supervisory strategies and making good regulatory decisions that protect customers from harm.
- Utilising the full suite of our intervention’s toolkit (VREQs, OIREQs, OIVOPs etc) in order to swiftly mitigate harm and protect customers.
- Contributing to the implementation of the evolving assertive supervisory approach and the embedding of new behaviours and culture aligned with the FCA strategy.
- Contributing to the building, maintaining and developing effective relationships with senior stakeholders both internally and externally.
- Contributing to the wider departmental / divisional objectives.
- Supporting 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.
- Actively tackle customer harm from scams and high-risk investments through swift and highly assertive supervisory action, using the full suite of our intervention toolkit.
- Work in a collaborative, inclusive and learning environment.

About You
- _Any disabled applicant meeting the minimum criteria will automatically progress to interview stage, should they enter under the _
- Disability Confident scheme_
- ._

Minimum
- Strong written communication skills.
- Experience of analysing complex information from various sources
- Strong stakeholder management experience
- Decision making experience required
- Knowledge of either firm supervision, or the investment sector, gained through industry or regulatory experience

Essential
- Knowledge of blockchain, cryptoasset business models and the risks in those models.
- Judgement - An ability to consider complex information from various sources and develop an appropriate supervisory strategy to tackle the harm - particularly under pressure and when action is needed to be taken quickly.
- Internal and external stakeholder management skills. An ability to build strong relationships with external and internal stakeholders in order to support the delivery of supervisory objectives.
- Engagement - Strong communication skills both written and verbally. An ability to communicate key messages and explain complex problems in a clear and concise manner to persuade others and build consensus.
- Delivery - An ability to get to grips with and drive forward complex cases and workstreams with a high level of autonomy.
- Good understanding of the Financial Services In

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