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Reaching out to the regulator

Oliver * worked in compliance in the financial sector.

During the course of his job, Oliver realised his company had hired someone who had previous convictions for a serious financial crime. Oliver had been made to do a DBS check when he joined so was shocked this person had been hired.

Oliver raised the concerns to his employer. Whilst he was originally thanked, he told us the concerns were ultimately ignored. Oliver continued raising the concerns and says he was belittled by his company, who told him his concerns weren’t valid and he was just overreacting. Oliver’s contract ended up being terminated.

Oliver felt frustrated – he felt he had been unfairly punished for flagging a potential risk to the company, which was part of his job. Oliver called us feeling worried about whether he had done the right thing, if his company might try and cover this up, and how this could affect his future job prospects.

We advised Oliver on the law; how he may be protected under whistleblowing law, what potential claims he could bring, and how to start preparing for this.

We also advised Oliver how he could safely raise his concerns to the relevant regulator, using the templates available on our website, and what to expect from the process.

Oliver told us he felt reassured and thankful when we ended our call. He felt confident on his position now he was aware of his legal rights and how he could escalate the concern to the regulator.

Oliver got back in touch with Protect to share an update – he had gone to the regulator. They confirmed his concerns fell under whistleblowing, and they have now been investigated.

Oliver is now in the process of going to the tribunal, using his legal expenses insurance to secure a solicitor.

Oliver told us, “You were so supportive and my case wouldn’t be in progress now without your help and guidance.“

*Name has been changed at request of the individual.