Enforcement and Market Oversight Litigations Lawyer

Job Title – Enforcement and Market Oversight Litigations Lawyer

Division – Enforcement and Market Oversight

Department – Wholesale and Unauthorised Business Investigations

Team – Wholesale 2

Salary – National ranging from £79,400 to £100,000 and London from £87,300 to £123,500 (Salary offered will be based on skills and experience)

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.

We’re recruiting a Regulatory or Criminal Investigations technical specialist to join our Wholesale and Unauthorised Business department.

This is an exciting opportunity for an experienced technical professional to work a complex and varied portfolio of work that directly protects consumers and furthers the FCA’s objectives.

Wholesale Enforcement 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.

What you will be doing?

Please note: Applications are encouraged from EITHER Regulatory or Criminal Legal Practitioners, i.e. applicants do not require experience in both.

The key responsibilities of the post holder will be:

• Providing technical legal and strategic advice on a wide range of complex enforcement matters, often under time and stakeholder pressure
• Supporting investigation teams to progress a challenging portfolio of cases in an environment which is fast paced
• Working with investigation teams to find innovative solutions to ongoing and emerging risks and legal/strategic issues
• Managing relationships with stakeholders
• Assisting in the presentation of enforcement matters to an Executive Decision Maker or the RDC
• Assisting the Department Management team, providing strategic thought informed by visibility of complex issues across the Department and wider FCA
• Advising on and contributing to new initiatives, processes and guidance to support the Transformation programme and other key workstreams across EMO and beyond
• Working collaboratively with other Technical Specialists across EMO, identifying emerging trends and associated training or change needs within the division
• Training and coaching staff when required and being a member of expert groups when appropriate

What will you get from the role?

• A challenging and varied portfolio of work that directly protects consumers and furthers the FCA’s objectives
• Satisfying, worthwhile and responsible work with the opportunity to use your skills in complex situations, engaging with internal and external stakeholders
• The ability to work on high-profile, complex and cutting-edge matters involving a range of stakeholders and regulated industries
• Work in a high-energy and stimulating division, within a supportive environment that continually seeks to develop members across EMO

The skills and experience you will have

We are a Disability Confident Employer; therefore, disabled people or individuals with long-term conditions who best meet the minimum criteria for a role will go through to the next stage of the recruitment process. To learn more about the Disability Confident Scheme

Minimum

• Qualified solicitor or barrister with significant PQE or post-Call experience
• Experience of regulatory or criminal investigations or proceedings

Essential

• Ability to perform under pressure, including taking risk-based decisions, and prioritise whilst delivering multiple outcomes to challenging deadlines
• Ability to advise on a wide range of different issues, spanning the breadth of the regulated sector, the FCA’s Handbook and other legislation
• Ability to assess and analyse voluminous and data-heavy bodies of evidence in complex cases, drawing out key implications and reaching sound judgements and being able to defend those judgements where appropriate, including to senior management
• Ability to think about problems creatively and to apply powers in new or unusual ways
• Ability to draft quickly and accurately on complex matters under pressure
• Experience of forming and maintaining effective working relationships with peers, management, internal and external stakeholders across the organisation, and external agencies
• Experience of influencing internal and external stakeholders with gravitas, and working constructively with decisions made by others, including when disagreeing with the decision made
• Ability to act on your own initiative to deliver the desired outcomes within specified timescales
• Ability to work collaboratively as part of a team, valuing different perspectives and backgrounds, and working with other departments and divisions to minimise silos
• Experience of conducting investigations and presenting to the RDC or Tribunal/Court
• Strong understanding of the structure of the wider FCA, FSMA and the FCA’s Handbook, rules and guidance

Our Values & Diversity

We are proud to be an inclusive employer, and our ambition is to cultivate a culture for all employees that respects their individual strengths, views, and experiences. We believe that our differences and similarities enable us to be a better organisation – one that makes better decisions, drives innovation, and delivering better regulation.

Within the workplace you will have access to various employee resource groups which aim to promote and achieve a healthy work / life balance and support our diversity ambitions.

Did you know? 50% of our Executive Committee were the first in their family to attend university.

Benefits of working at the FCA

• 28 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 (there are several contribution levels that increase depending on your age – up to 12% a month once you reach age 35)
• Life assurance of eight times your basic salary
• Income protection

We also have a competitive flexible benefits scheme which gives you the opportunity to create a personalised benefits package, tailored to suit your lifestyle.

We welcome applications from candidates who are looking for flexible arrangements. Many of our staff work flexibly including working part-time, staggered hours, and job shares. We can’t promise to give you exactly what you want but we can explore what might work best for both sides.

Follow this link to see what life is like at the FCA – Life at the FCA.

Application Support

We are dedicated to removing barriers and ensuring our application process is accessible to everyone. We offer a range of adjustments to make your application experience as comfortable and straightforward as possible.

If you have an accessibility need, disability, or condition requiring changes to the recruitment process, please contact your recruiter using the details below and they will be happy to discuss this further with you.

Useful Information and Timeline

• This role is graded as: Technical Specialist – Practising Legal
• Advert Closing Date: 28th October (please note that the advert will close at 00:00 on the morning of the 28th October)
• CV Review/Shortlist: 29th October & 30th October
• 1st Stage Written Case Study: Week commencing 3rd November to 14th November
• 2nd stage Competency Based Video Interview: 17th November onwards

Got a question?

If you are interested in learning more about the role, please contact Raimonda Stankute on raimonda.stankute@fca.org.uk

Applications must be submitted through our online portal. Applications sent via email will not be accepted.

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