Financial Advisor at Ataraxis Wealth Management supporting clients in financial planning. Focused on building clientele, educating clients, and developing financial solutions.
FA
Hybrid Senior Financial Promotions Case Worker
Posted 6 months ago
About the role
- Senior Financial Promotions Case Worker reviewing compliance in financial promotions for the FCA. Engaging in casework and stakeholder communications to ensure regulatory adherence.
Responsibilities
- Review referrals received from consumers and other stakeholders into the team inbox, and proactively review current promotions for compliance with our rules, on a rota-basis
- Carry out casework, including understanding and identifying relevant financial promotion rule breaches and communicating these to firms
- Answer queries relating to the financial promotions regime and provide answers or recommendations for decision making
- Provide support to colleagues on project and policy work through assessing financial promotions, conducting research or running reports for review
- Draft letters to firms and/or consumers, tailoring the message appropriately to suit the audience
- Assist supervisors and portfolio leads through conducting portfolio analysis and inputting into planned communications to sectors/firms
Requirements
- Minimum Prior experience of making risk-based decisions and prioritisation ensuring the most important work is done
- Prior experience engaging with stakeholders internally and externally
- Prior experience in a role where you were responsible for case work
- Good analytical skills and judgement
- The ability to work with key stakeholders and build good relationships
- The ability to respond positively to challenges and to adopt a flexible approach to change
- The ability to manage a variety of competing tasks and issues, working both independently and as part of a team, prioritising appropriately and escalating where necessary
- Ensuring work produced is of the highest standard
- Ability to demonstrate ownership of, and responsibility for, work on an on-going basis
Benefits
- 25 days holiday per year plus bank holidays
- Hybrid working (work from home up to 60% of your time)
- Private healthcare with Bupa
- A non-contributory Pension of at least 8% of basic salary each month
- Life assurance of eight times your basic salary
- Income protection
- Competitive flexible benefits scheme which gives you the opportunity to create a personalised benefits package
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