Associate Investigator
Associate Investigator, Unauthorised Business Department, Enforcement and Market Oversight - 12 month FTC (Fixed term contract)
The salary range will be approximately 35,000 to 50,000 GBP plus a competitive benefits package and non-contributory pension.
Background
At the FCA, we're creating a fair and more resilient financial system. We're establishing more transparent relationships between financial services and their customers, building trust in financial markets and protecting vulnerable consumers.
EMO
Enforcement & Market Oversight (EMO) is responsible for the FCA's responsibilities for market monitoring, delivery of the functions of the UK Listing Authority (UKLA) and the investigation and prosecution of misconduct pursuing and remedying misconduct using the whole spectrum of criminal, civil and administrative sanctions and remedies against firms and individuals.
The division aims to:
EMO - Market Oversight
Market Oversight is responsible for overseeing primary and secondary market activity through its role under the listing, market abuse and short-selling regimes. Market Oversight aims to discharge these responsibilities in a way which is proportionate, risk-focused and forward-looking, through education of the market, and using a range of tools and techniques. Our work protects consumers and delivers market integrity by ensuring high standards of market practice and appropriate disclosure so our markets will function well.
UBD Unauthorised Business Department
UBD investigates firms which are not authorised by the FCA but which 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.
What does this job involve?
As an associate, ideally having an accounting background, in one of its Investigation teams, you will be primarily responsible for:
More generally, you will be an active participant in carrying out investigations into unauthorised activity which have been assessed potentially meriting enforcement action through the courts. You may be required to assist case teams with general administrative tasks relating to their investigations. You will proactively identifying, gathering and analysing evidence using FSMA and, where appropriate wider law enforcement powers, making recommendations/suggestions on case strategy, interviewing investors and suspects, drafting affidavits and witnesses statements, gathering and disseminating intelligence and lessons learned as well as managing internal and external stakeholders. You will also be involved in, and on occasions lead, preparations for any court hearings undertaken as part of the investigation and ensuing proceedings.
The caseload in the team includes among other things complex collective investment schemes, multi-jurisdictional investigations and unregulated introducers within the pensions sector.
What will I get from the role?
Which minimum, essential & desirable skills are required?
We're a signatory to the Government's Disability Confident scheme. This means that we guarantee an interview to any disabled candidates entering under the scheme, should they meet the minimum criteria for a role.
Minimum:
Essential
Desirable
Additional Information
As an inclusive employer, we are open to considering flexible working arrangements. Please contact our recruiter if you wish to apply for this role on a flexible basis.
The job family for this role is L&F B and applications close on 18/04/2018.
Selection process
Stage 1: On-line application, please submit your CV and answer to the following application question:
Why do you believe that you are suitable for this role? Please ensure that you specifically relate your answer to the criteria listed in the job advert, covering your relevant skills, technical knowledge and competencies. (Max 300 words)
Stage 2: Screening - your application will then be forwarded to the recruiting managers
Stage 3: Selection & assessment process (could be subject to change)
For internal applications, please contact Ha Nguyen on if you have any questions about the role.
For external applications, please contact Shazna Chowdhury on if you have any questions about the role.
This role will be based in London, Canary Wharf, with a planned move in 2018 to a new site in The International Quarter, Stratford .
Search jobs & apply
The salary range will be approximately 35,000 to 50,000 GBP plus a competitive benefits package and non-contributory pension.
Background
At the FCA, we're creating a fair and more resilient financial system. We're establishing more transparent relationships between financial services and their customers, building trust in financial markets and protecting vulnerable consumers.
EMO
Enforcement & Market Oversight (EMO) is responsible for the FCA's responsibilities for market monitoring, delivery of the functions of the UK Listing Authority (UKLA) and the investigation and prosecution of misconduct pursuing and remedying misconduct using the whole spectrum of criminal, civil and administrative sanctions and remedies against firms and individuals.
The division aims to:
- Be a world leading function, with professional and motivated staff, taking the right cases that have a positive impact on the way financial services work.
- Promote the conduct that supports trusted, orderly and efficient primary and secondary markets.
EMO - Market Oversight
Market Oversight is responsible for overseeing primary and secondary market activity through its role under the listing, market abuse and short-selling regimes. Market Oversight aims to discharge these responsibilities in a way which is proportionate, risk-focused and forward-looking, through education of the market, and using a range of tools and techniques. Our work protects consumers and delivers market integrity by ensuring high standards of market practice and appropriate disclosure so our markets will function well.
UBD Unauthorised Business Department
UBD investigates firms which are not authorised by the FCA but which 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.
What does this job involve?
As an associate, ideally having an accounting background, in one of its Investigation teams, you will be primarily responsible for:
- reviewing evidence from various sources to quantify the loss suffered by investors across several different unlawful schemes.
- reviewing and revising as necessary, the design of a process for accurately recording this loss, ensuring that all records are accurately and efficiently maintained including document scheduling, archiving and retrieval and appropriate use of Enforcement's document management procedures.
- carrying out timely and accurate evidential document preparation including the preparation of witness statements detailing your analysis and approach.
More generally, you will be an active participant in carrying out investigations into unauthorised activity which have been assessed potentially meriting enforcement action through the courts. You may be required to assist case teams with general administrative tasks relating to their investigations. You will proactively identifying, gathering and analysing evidence using FSMA and, where appropriate wider law enforcement powers, making recommendations/suggestions on case strategy, interviewing investors and suspects, drafting affidavits and witnesses statements, gathering and disseminating intelligence and lessons learned as well as managing internal and external stakeholders. You will also be involved in, and on occasions lead, preparations for any court hearings undertaken as part of the investigation and ensuing proceedings.
The caseload in the team includes among other things complex collective investment schemes, multi-jurisdictional investigations and unregulated introducers within the pensions sector.
What will I get from the role?
- A challenging and varied portfolio of work, working closely with counterparts in other law enforcement and investigation agencies.
- An opportunity to do satisfying, worthwhile and responsible work with the chance to use your professional skills in complex situations.
- An opportunity to widen your experience and optimise your skills in legal analysis, drafting and risk assessment.
Which minimum, essential & desirable skills are required?
We're a signatory to the Government's Disability Confident scheme. This means that we guarantee an interview to any disabled candidates entering under the scheme, should they meet the minimum criteria for a role.
Minimum:
- Experience of either a criminal, civil or regulatory environment as an investigator, ideally having an accounting background.
Essential
- Self-motivated.
- Good team player.
- Good communicator, both orally and in writing.
- Willingness to accept ownership of tasks carried out.
- Ability to work well under pressure.
- Adopts analytical approach and critically assesses information to inform effective/efficient course of action.
- Ability to present the outcome of that analysis clearly and effectively, orally and in writing.
- Strong drafting skills.
- Experience of interviewing suspects and/or witnesses.
- Ability to challenge intelligently and constructively.
- Ability to manage a large and varied workload, giving due attention to the most serious and high priority matters.
- Ability to take responsibility for making timely decisions based on relevant analysis.
- Willingness to exercise own judgement and defend those judgements where necessary and appropriate.
Desirable
- Understanding of the rules of evidence.
- Giving evidence at court or tribunal.
- Knowledge of the Financial Services and Markets Act 2000 (FSMA).
- Knowledge of the Police and Criminal Evidence Act 1984 (PACE).
Additional Information
As an inclusive employer, we are open to considering flexible working arrangements. Please contact our recruiter if you wish to apply for this role on a flexible basis.
The job family for this role is L&F B and applications close on 18/04/2018.
Selection process
Stage 1: On-line application, please submit your CV and answer to the following application question:
Why do you believe that you are suitable for this role? Please ensure that you specifically relate your answer to the criteria listed in the job advert, covering your relevant skills, technical knowledge and competencies. (Max 300 words)
Stage 2: Screening - your application will then be forwarded to the recruiting managers
Stage 3: Selection & assessment process (could be subject to change)
For internal applications, please contact Ha Nguyen on if you have any questions about the role.
For external applications, please contact Shazna Chowdhury on if you have any questions about the role.
This role will be based in London, Canary Wharf, with a planned move in 2018 to a new site in The International Quarter, Stratford .
Search jobs & apply