At a Glance
- Tasks: Investigate financial misconduct and support your team through all stages of the investigation process.
- Company: Join the FCA, a key player in regulating UK financial services.
- Benefits: Competitive salary, career development, and the chance to make a real impact.
- Other info: Dynamic role with opportunities for professional growth and collaboration.
- Why this job: Be part of a mission to protect consumers and ensure fair financial markets.
- Qualifications: Qualified lawyer with a current practising certificate or equivalent legal qualification.
The predicted salary is between 47200 - 70800 £ per year.
Division: Enforcement & Market Oversight (EMO)
Department: Retail and Regulatory Investigations (RRI)
Salary: National (Edinburgh and Leeds) ranging from £47,200 to £70,800 and London £50,300 - £75,400 (salary offered will be based on skills and experience)
This role is graded as: Associate, level 8 - Practising legal
Your recruitment contact is Raimonda Stankute via Raimonda.stankute@fca.org.uk. Applications must be submitted through our online portal. Applications sent via social media or email will not be accepted.
About the FCA and team
We regulate financial services firms in the UK, to keep financial markets fair, thriving and effective. By joining us, you’ll play a key part in protecting consumers, driving economic growth and shaping the future of UK finance services.
The FCA’s Enforcement and Market Oversight (EMO) is recruiting two permanent Enforcement Investigators - Level 8 Associate roles in its Retail and Regulatory Investigations Division (RRI). These roles are specifically aimed at qualified lawyers. We are seeking individuals who hold a current practising certificate as a solicitor or barrister in England and Wales (or an equivalent internationally recognised legal qualification) to strengthen our multi-disciplinary investigation teams.
Retail and Regulatory Investigations (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.
Role responsibilities
- Associates are involved at every stage of the investigation process, supporting your team, developing your knowledge and sharing your experience, which includes:
- Taking on differing degrees of responsibility for a mixture of cases depending on their nature and complexity. This could range from playing a leading role in smaller cases with management oversight, to working as part of a wider team on larger more complex cases.
- Progressing a portfolio of investigations, managing your work to meet competing deadlines. Obtaining evidence through the use of appropriate tools and powers and developing the case team’s understanding. Exploring detailed evidence and making recommendations.
- Drafting all forms of case documents (which may include witness statements, civil orders, statutory notices and papers going before the Regulatory Decision Committee) and correspondence with investigation subjects, their legal representatives and witnesses.
- Participating in challenging interviews of subjects and witnesses using compulsory powers, on a voluntary basis.
Enforcement Investigator employer: PSR Limited
The FCA is an exceptional employer, offering a dynamic work environment in Edinburgh and Leeds where your contributions directly impact the integrity of financial markets. With a strong commitment to employee growth, a diverse and inclusive culture, and comprehensive benefits including a non-contributory pension and private healthcare, you will thrive both personally and professionally while making a meaningful difference in consumer protection.
StudySmarter Expert Advice🤫
We think this is how you could land Enforcement Investigator
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like PSR Limited looking for candidates who are engaged and informed.
We think you need these skills to ace Enforcement Investigator
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at PSR Limited. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at PSR Limited
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with PSR Limited’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
