Associate Review

I assess cases of firms' conduct concerns gathered from intel received internally, by other regulatory bodies or consumers. I will usually end up contacting firms to ask for an explanation and get them to review some of their compliance procedures so that they are in line with FCA rules.

There is a disconnect between BPP and the FCA, and so I have to prove to an outsider that I am doing the work I say I am. It would be a lot easier if there were someone internally assessing me who can see my work than having to gather 'evidence' and explain it in great detail to a BPP coach. When I first started, I didn't get a great deal of explicit information on the nature of my course which left me a bit lost for a few months. I also believe the way we are assessed is not best- it would be better to talk about our work in person with someone familiar with the role already, as they can better assess if you understand what you are talking about.

I am happy within my team. I have a line manager who is happy to help and makes sure that I have all that I need to do my job. I work closely with the Lead Supervisor in the team, who goes out of their way to make sure I understand my cases and to help me whenever I need it. I also mentioned that COVID has caused me to be a bit behind in my work and my Head of Department found me a mentor to support me during this time.

I believe this could be improved. It isn't as effective as it could be as I only speak to my coach over the phone. It is harder to build a rapport this way. I usually feel like I have misunderstood what my tasks are. However, due to Covid, if I ask for more time on a task, I have been granted it. I do feel better supported by the FCA than BPP.

What I have learned by doing assignments are more transferable skills that would make a good candidate in any job eg: teamwork, analysing data and being able to teach/ explain your role to people. These are great to know but the title of my qualification is misleading. As a Risk and Compliance course, I assumed that I would be learning the technicalities behind R&C instead. This would help me a lot more rather than the skills i mentioned before, as I have previously had many jobs and feel that i already demonstrate these. Alternatively, a course which has both elements would have been better.

Yes

I am supported in my work here. There is also a n emphasis (organisation wide) on protecting your mental health and helping each other when possible. They have been understanding during the covid crisis/shift to WFH. The FCA's mission to help consumers in financial services is important to me- I believe such a body is necessary as there is a lack of education on the subject in society. I also believe the benefits are great.