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Authorisations Technical Specialist
1 month ago
We're seeking an Authorisations Technical Specialist to assist our Member Firms in becoming directly authorised with the Financial Conduct Authority (FCA). The successful candidate will provide end-to-end FCA application services, liaising with the FCA and offering guidance and support to firms throughout the process.
In this role, you'll assist firms in drafting policies and procedures required by FCA-regulated firms, including those related to Vulnerable Customers, Financial Crime, and Consumer Duty.
You'll also be required to coach firms and Principals on their regulatory obligations to prepare them for Direct Authorisation and any possible FCA authorisation interview.
Key Responsibilities:
- Support firms in their journey to Direct Authorisation
- Provide consultancy services to firms, assisting with the drafting of key documentation, including Regulatory Business Plans, Compliance Monitoring Plans, and Financial Forecasts
- Build strong relationships with member firms, acting as a key contact throughout the FCA authorisation process, and assist with general queries regarding the process
- Coach new member firms on regulatory requirements for SMF16/17 roles
- Review and provide guidance and assistance to member firms on the completion and appropriateness of their policies and procedures
- Maintain knowledge of regulatory requirements, industry changes, and the ability to relay this information to members in a clear and easily understood manner
- Have a good working knowledge of the various FCA handbooks and the ability to research and interpret FCA legislation
- Have knowledge of Consumer Duty and other regulations, such as Data Protection, Consumer Credit, JMLSG, and Financial Sanctions
Requirements:
- Experience working in the UK financial services industry
- Relevant financial services qualifications (level 4 desirable)
- Excellent customer support skills, combining customer service with technical support
- Good written and verbal communication skills, including a good telephone manner
- Good interpersonal skills, including strong team working skills
- Collaborative approach to problem-solving, including liaison with other internal departments where appropriate
- Capable of quickly learning new information and explaining it to others
- Strong training and development skills
- Administration and organisational skills, with the ability to plan and prioritise work to meet deadlines
- Positive and proactive, uses initiative and takes responsibility – prepared to go the extra mile to deliver optimal results
- Good IT literacy, with good knowledge of MS Office products
- Self-motivated and proactive with a strong drive for results and sense of urgency to deliver projects – uses initiative and takes ownership/responsibility
- Flexible, can-do approach – comfortable working with ambiguity and fast-changing priorities – creative, and resourceful to solve problems and overcome obstacles
Fintel plc and all the businesses within it adopt a zero-tolerance approach to discrimination on any of the protected grounds in the Equality Act 2010.
We are committed to providing equal opportunities to all current and prospective employees regardless of age, disability, sex, sexual orientation, pregnancy and maternity, race or ethnicity, religion or belief, gender identity, or marriage and civil partnership.
We aspire to have a diverse workforce because, in our view, diversity enables better business outcomes. We also believe that a more inclusive workplace, where people of different backgrounds work together, ensures better outcomes for all staff. From application to interview, we place inclusion at the heart of all we do.
For these reasons, we strongly encourage suitably qualified applicants from a wide range of backgrounds.