Senior Investigator - Senior Associate Level 7

Join to apply for the Senior Investigator - Senior Associate Level 7 role at Financial Conduct Authority

Senior Investigator - Senior Associate Level 7

Join to apply for the Senior Investigator - Senior Associate Level 7 role at Financial Conduct Authority

Division - Enforcement and Market Oversight

Department – Retail 2 and Wholesale 2

Salary - Regulatory London £57,700 - £80,00, National £52,400 - £72,00 Practicing Legal London £66,900 - £92,00, National £60,900 - £83,00

About The FCA

The FCA regulates the conduct of 45,000 firms in the UK to ensure our financial markets are honest, fair and competitive. Follow this link to find out more About the FCA.

The FCA’s Enforcement and Market Oversight (EMO) is recruiting permanent and FTC Regulatory Investigators - Senior Associate Level 7. There is currently a vacancy in the Retail and Regulatory Directorate and FTC vacancies in Wholesale 2 further vacancies may arise in the Directorates.

EMO investigates misconduct in financial services that affects UK consumers and the financial markets. We bring regulatory, civil and criminal cases against firms and individuals to punish wrongdoers, deter others from wrongdoing and change behaviours. Effective, fair and impactful enforcement is critical to the success of the FCA.

The FCA receives reports from many different sources that indicate potential misconduct, and we are continually presented with challenging and intellectually stimulating cases. Our cases involve critical issues that matter to consumers and market participants and attract large scale media attention. Our work covers a diverse range of issues including fraudulent conduct, corporate governance failings, market abuse and product mis-selling.

Working in EMO at the FCA is a great career option if you have a strong sense of public duty and are motivated to do the right thing and make a positive difference to the lives of consumers and the UK financial market generally.

Retail and Regulatory Investigations (RRI)

RRI investigates potential misconduct by regulated firms, and individuals working within those firms, involved in retail banking, stockbroking, asset management, mortgage broking and lending, insurance intermediation, financial advice, consumer credit and payment services. We take action against firms that sell unsuitable products or services to consumers, mishandle client money and assets, or have governance and systemic issues. We also investigate financial crime matters including fraud and misconduct related to AML systems and controls.

Wholesale Enforcement Department (WUBI)

The Wholesale department ensures that suspected wrongdoing in the wholesale financial markets is investigated and where serious misconduct by firms and/or individuals is identified they are held to account. Our investigation teams undertake criminal, civil, and regulatory investigations spanning insider dealing, market manipulation, misleading statements by listed companies and systems and controls failings.

Unauthorised Business Department (UBD)

UBD investigates firms that are not authorised by the FCA but are carrying out activities that require authorisation. Unauthorised firms pose a significant risk to consumers – UBD has civil and criminal powers to tackle these firms and protect consumers. UBD cases typically involve high-loss investment/Ponzi type frauds, illegal trading schemes and boiler room operations.

What will you be doing?

Role

Senior Associates are senior members of our case teams and play a vital role throughout the wider department. As a Senior Associate:

• You will help progress and, in some cases, lead investigations, taking on differing degrees of responsibility depending on their nature and complexity, and managing your work to meet competing deadlines. This could range from running smaller cases with management oversight, to working as part of a wider team on larger more complex cases
• You will be involved in all aspects of investigations from strategic planning, delegating tasks within the team, obtaining evidence using appropriate powers, drafting and reviewing all forms of documents, taking part in interviews of subjects and witnesses, analysing evidence and making judgements and recommendations throughout the lifetime of an investigation
• You will be a role model within your team, always willing to share your knowledge and expertise and have mentoring responsibilities for junior colleagues.
• You will contribute to Departmental or Divisional Corporate Projects which are designed to support and improve our processes and systems and the way that we work
• You will build and maintain effective working relationships with senior colleagues in other areas within the FCA and with counterparts at key external stakeholders
• Legally qualified candidates in this role would also be expected to provide legal advice to the case team and where appropriate take responsibility for the preparation of privileged correspondence
  
  

• Exposure to some of the most fascinating, challenging and rewarding investigations in the UK
• A chance to work with colleagues from across EMO and other parts of the FCA
• Satisfying, worthwhile and responsible work with the opportunity to use your skills in complex situations
• Working in a high-energy and stimulating Division, within a supportive environment with exposure to a range of senior internal and external stakeholders
• The opportunity to help develop junior colleagues and positively contribute to the development of their career
  
  

• Demonstrable significant ability working on complex investigations involving fraud/financial crime litigation within a criminal, civil or regulatory environment
• Experience of working collaboratively and communicating effectively with colleagues and motivating and assisting more junior colleagues, as well as having the ability to work independently and take responsibility for delivering against deadlines and managing operational risks
• Experience of analysing large amounts of information, drawing out key findings and producing formal written reports including making recommendations
  
  

• Drive forward and coordinate work on complex investigations involving large volumes of documents/data
• Build and maintain strong and effective relationships with colleagues in other business units and with external bodies
• Work collaboratively and inclusively with colleagues with different perspectives and backgrounds
• Make clear, concise, logical and persuasive oral and written presentations on complex subjects
  
  

• 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%
• Life assurance
• Income protection
  
  

• This role is graded as – Senior Associate - Practising legal or Senior Associate - Regulatory
• Advert Closing Date: 14th July
  
  

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Part-time

Job function

• Job function

  Other, Information Technology, and Management

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