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About the Role

The FCA regulates financial services firms in the UK to ensure fair, thriving, and effective financial markets. This role is within the Enforcement & Market Oversight (EMO) Division, specifically the Retail & Regulatory Investigations (RRI) team, which investigates firms and individuals in consumer markets to address misconduct, combat financial crime, and promote fair consumer outcomes.

Responsibilities

• Lead a portfolio of complex investigations with competing deadlines, taking overall responsibility for investigation strategy, scope, risk management, evidence gathering, and timely outcomes.
• Build and maintain effective relationships with FCA colleagues and external bodies, working collaboratively and effectively under pressure.
• Obtain and assess evidence using appropriate regulatory, civil and criminal powers, including conducting detailed analysis of high-volume, complex evidence to formulate findings and recommendations.
• Lead challenging interviews with subjects and witnesses using compulsory powers, voluntary attendance or under caution, determining the most appropriate approach.
• Draft or oversee the drafting of key investigation documents and correspondence, including witness statements, statutory notices, settlement papers, and communications with subjects, legal representatives and witnesses.
• Oversee, manage and coach junior team members, ensuring effective investigation progression, providing training where required, and supporting delivery of high-quality outcomes.
• Manage junior staff performance and development through line management responsibilities, including appraisals, development planning, and timely management of any performance or conduct issues.
• Own the production of regular and ad hoc management information (MI) and support the recruitment of junior team members, including candidate identification and interviewing.

Requirements

• Significant experience (typically at least five years post-qualification or equivalent) in financial markets, regulatory investigations, serious fraud or complex financial crime investigations, or complex litigation and disputes.
• UK-qualified lawyer with a valid practising certificate issued by either the Solicitors Regulation Authority for England and Wales or the General Council of the Bar for England and Wales (for solicitor or barrister candidates).
• Experience in leading complex and challenging cases, including those involving potential criminal conduct or significant regulatory breaches.
• Capable of assessing, analysing and interpreting complex evidence to determine appropriate action, identify further evidence requirements, and decide how additional evidence can be obtained.
• Ability to communicate analysis, findings and recommendations clearly and effectively, both verbally and in writing.
• Effective at supporting the development of case strategies by identifying key risks, recommending mitigation actions and contributing to the overall investigation approach.
• Able to make timely, evidence-based decisions, exercising sound judgement and confidently justifying conclusions where required.
• Experience in building and maintaining strong working relationships with colleagues across business areas and external organisations, while effectively managing a varied portfolio of projects and workstreams.
• Proven experience of managing, overseeing and mentoring staff, including supporting development, providing coaching and constructive feedback, and fostering high performance within a team.

Skills

• Financial markets
• Regulatory investigations
• Serious fraud investigations
• Complex financial crime investigations
• Complex litigation and disputes
• Assessing complex evidence
• Analysing complex evidence
• Interpreting complex evidence
• Verbal communication
• Written communication
• Case strategy development
• Risk identification
• Mitigation recommendation
• Decision making
• Judgement
• Relationship building
• Project management
• Workstream management
• Staff management
• Staff mentoring
• Staff coaching
• Performance feedback

Location

• London
• National

Work Type

• Hybrid
• Permanent
• Fixed Term

Experience Level

• Lead Associate – Regulatory
• Lead Associate – Practising Legal
• Minimum five years post-qualification or equivalent experience

Education Level

• UK-qualified lawyer with a valid practising certificate

Salary/Compensations

• Lead Associate – Regulatory - London ranging from £66,600 to £86,600
• Lead Associate – Regulatory - National ranging from £60,700 to £78,700
• Lead Associate – Practising Legal - London ranging from £76,600 to £96,600
• Lead Associate – Practising Legal - National ranging from £69,700 to £88,700

Benefits

• 25 days annual leave plus bank holidays
• Hybrid model (minimum 40% in office, increasing to 50% from September)
• Non-contributory pension (8–12% depending on age)
• Life assurance at eight times salary
• Private healthcare with Bupa
• Income protection
• 24/7 Employee Assistance Program
• 35 hours of paid volunteering annually
• Flexible benefits scheme

About the Company

• We regulate financial services firms in the UK, to keep financial markets fair, thriving and effective.
• 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 using the whole spectrum of criminal, civil and administrative sanctions and remedies against firms and individuals.
• Retail & Regulatory Investigations (RRI) sits within the Enforcement & Market Oversight (EMO) Division and investigates firms and individuals across consumer markets to tackle misconduct, combat financial crime, and promote fair consumer outcomes.
• Within RRI, the Retail 1, Retail 2 and Retail 3 Departments focus on consumer-facing investigations, ensuring firms and individuals meet regulatory standards and deliver fair treatment to consumers.
• Our colleagues are the key to our success as a regulator.
• We are committed to fostering a diverse and inclusive culture: one that’s free from discrimination and bias, celebrates difference, and supports colleagues to deliver at their best.
• We believe that our differences and similarities enable us to be a better organisation – one that makes better decisions, drives innovation, and delivers better regulation.
• 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.

Equal Opportunity

• We welcome diverse working styles and aim to find flexible solutions that suit both the role and individual needs, including options like part-time and job sharing where applicable.
• We’re proud to be a Disability Confident Employer, and therefore, people or individuals with disabilities and long-term conditions who best meet the minimum criteria for a role will go through to the next stage of the recruitment process.