Senior Case Officer

Job title:

Senior Associate Case Officer Division:
Authorisations Department:
Wholesale

Salary:
National (Edinburgh and Leeds) ranging from £53,800 to £67,200 and London from £59,200 to £73,800 per annum (salary offered will be based on skills and experience)

This role is graded as:
Senior Associate – regulatory

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 serves as the initial point of contact for firms and individuals seeking to provide regulated financial services in the UK, making authorisation decisions to ensure applicants meet the FCA’s standards.

The Wholesale Authorisations Department sits within the Authorisations Division and is responsible for various regulatory transactions which include the authorisation of solo regulated firms that are new to the regulated environment, as well as variation of permissions of existing solo regulated firms.

• Managing your own caseload of applications in a well-organised, time-sensitive way while keeping appropriate, auditable records
• Working effectively with internal stakeholders (e.g. in Enforcement, Supervision, etc.)
• Having robust conversations with firms when necessary (which could include telling a firm its application is being refused)
• Communicating in a clear and concise manner

• Prior experience or a good understanding of either buyside or sell side business models, the relevant legislation and regulations, and the FCA authorisation process
• Prior experience of internal and external stakeholder engagement

• Ability to guide and signpost potential applicants effectively in pre-application meetings
• Capable of working to the standards set by our Quality Assurance framework
• The ability to act on your own initiative, to make logical and timely choices, and to understand the wider situation
• A collaborative contributor who supports others and helps guide decisions
• The ability to make choices where there isn’t a single right answer available, and trade-offs must be weighed between different risks and competing objectives
• Ability to work individually and collaboratively

• 25 days annual leave plus bank holidays
• 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
• Colleagues spend a minimum of 50% of their working time in the office each month (60% for Directors and Executive Directors) across our London, Leeds and Edinburgh offices
• A flexible benefits scheme designed around your lifestyle

For a full list of our benefits, and our recruitment process as a whole visit our benefits page.

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.

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.

• Job advert closing: 23rd August (Midnight)
• CV Review/Shortlist: 24th August
• Interviews: w/c 31st August
• 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.