Senior Case Officer in London

Division: Authorisations

Department: Approved Person & Mutuals (APM)

Salary: National (Edinburgh and Leeds) ranging from £52,400 to £61,800 and London from £57,700 to £68,000 per annum (salary offered will be based on skills and experience). This role is graded as: Senior Associate – Regulatory.

About the FCA and team:

We regulate financial services firms in the UK, to keep financial markets fair, thriving and effective. By joining us, you’ll play a key part in protecting consumers, driving economic growth, and shaping the future of UK finance services. The Authorisations Division is the first point of contact for firms and individuals who want to undertake regulated financial services in the UK. We make decisions about applications for authorisations, ensuring firms and individuals meet our standards. There are several Departments in the Division, one of which is the Approved Persons & Mutuals Department (APM). APM is a very busy and dynamic department comprising several teams of Case Officers managing high volumes of applications that vary in terms of their complexity. In the main, the teams assess applications from firms for individuals to perform senior manager functions and determine their fitness and propriety under our regime.

Role responsibilities:

• Assess fitness and propriety of senior managers at solo regulated firms including directors, CEOs, board chairs and chief risk officers ensuring only capable and trustworthy leaders are approved, delivering confidence in firms and protecting consumers while giving you early responsibility at the top of organisations.
• Manage a demanding and varied portfolio of applications using curiosity and investigative judgement to identify risks and take proportionate action to deliver timely and robust outcomes that matter while building effective regulatory decision making skills.
• Engage with a wide range of senior internal and external stakeholders to reach balanced determinations creating impact through collaboration and credibility while developing communication and negotiation experience.
• Conduct competency based interviews with senior applicants where appropriate directly shaping decisions on leadership quality and gaining valuable exposure to high-level assessment and interviewing skills.
• Lead and contribute to departmental and divisional initiatives supporting continuous improvement and change while giving you visibility and the chance to develop leadership beyond your core role.
• Gain a unique aerial view of the financial services industry during a period of significant change impacting real world outcomes for firms and consumers while deepening your understanding of how the FCA and Authorisations Division operate.
• Enjoy varied work on high profile issues with extensive support for learning and career development creating long term value through accelerated growth, broad exposure and a meaningful public interest career.

Skills required:

• Minimum: Prior experience in a role which has required organisational skills, with ability to manage a varied and complex workload. Relevant experience in investigating, assessing, and analysing information from a range of different sources. Experience of persuading senior internal and external stakeholders.
• Essential: Written and verbal communication skills with the ability to present complex information clearly and compellingly to senior stakeholders. Good knowledge of the financial services industry with a preference for Consumer Investments and a solid understanding of the regulatory environment including the FCA authorisation approach. Solid knowledge and practical understanding of the Senior Managers and Certification Regime (SM&CR). Inclusive and cooperative, able to partner effectively with colleagues to meet shared goals. Highly organised with planning, prioritisation and time management skills and the ability to maintain focus and perform across competing priorities. Self-motivated and able to work with minimal oversight while coaching and supporting others.

Benefits:

• 25 days annual leave plus bank holidays.
• Hybrid model where employees work a minimum of 40% in the office each month (expectation of 50% for senior leaders). Changing from September to a minimum of 50% in the office each month (expectation of 60% for Directors and Executive Directors).
• Non-contributory pension (8–12% depending on age) and life assurance at eight times your salary.
• Private healthcare with Bupa, income protection, and 24/7 Employee Assistance.
• 35 hours of paid volunteering annually.
• A flexible benefits scheme designed around your lifestyle.

Our values & culture:

Our colleagues are the key to our success as a regulator. We are committed to fostering a diverse and inclusive culture: one that’s free from discrimination and bias, celebrates difference, and supports colleagues to deliver at their best. We believe that our differences and similarities enable us to be a better organisation – one that makes better decisions, drives innovation, and delivers better regulation.

If you require any adjustments due to a disability or condition, your recruiter is here to help - reach out for tailored support. We welcome diverse working styles and aim to find flexible solutions that suit both the role and individual needs, including options like part-time and job sharing where applicable.

Disability Confident: our hiring approach. We’re proud to be a Disability Confident Employer, and therefore, people or individuals with disabilities and long-term conditions who best meet the minimum criteria for a role will go through to the next stage of the recruitment process. In cases of high application volumes, we may progress applicants whose experience most closely matches the role’s key requirements.

Useful information and timeline:

Advert Closing: 14th May (midnight). CV Review/Shortlist: W/C 18th May. First Stage Interviews W/C: 25th May. Your Recruiter will discuss the process in detail with you during screening for the role, therefore, please make them aware if you are going to be unavailable for any date during this time.