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About the Role

The Enforcement Investigator role involves supporting the Enforcement & Market Oversight division in investigating potential misconduct by regulated firms and individuals. You will play a key part in protecting consumers, driving economic growth, and shaping the future of UK finance services by investigating and prosecuting misconduct.

Responsibilities

• Take on varying degrees of responsibility for cases based on their nature and complexity, potentially leading smaller cases or contributing to larger ones.
• Progress a portfolio of investigations, managing work to meet deadlines, obtaining evidence, and developing the case team's understanding.
• Draft case documents, including witness statements, civil orders, statutory notices, and papers for the Regulatory Decision Committee.
• Participate in interviews of subjects and witnesses using compulsory powers, voluntarily, and under caution.
• Prepare for and present cases at internal case committees.
• Provide legal advice to case teams and prepare privileged correspondence where appropriate.

Requirements

• Prior experience analyzing large amounts of information and producing summaries with conclusions and key findings.
• Hold a valid practising certificate issued by the Solicitors Regulation Authority for England and Wales (if a solicitor), or the General Council of the Bar for England and Wales (if a barrister) (or a similar internationally recognised qualification).
• Demonstrated experience supporting and progressing investigations or complex projects involving large volumes of information.
• Ability to build and maintain effective working relationships with internal and external stakeholders, including in challenging or sensitive contexts.
• Experience working collaboratively across multidisciplinary teams and managing competing priorities across multiple workstreams.
• Clear written and verbal communication skills, including producing clear, structured written outputs and presenting findings or recommendations.
• Relevant experience in financial services and/or fraud investigation/litigation.

Skills

• Analyzing large amounts of information
• Producing summaries with conclusions and key findings
• Supporting and progressing investigations
• Managing complex projects
• Building and maintaining effective working relationships
• Collaborating across multidisciplinary teams
• Managing competing priorities
• Clear written and verbal communication
• Producing clear, structured written outputs
• Presenting findings or recommendations
• Financial services experience
• Fraud investigation experience
• Litigation experience

Location

• National (Edinburgh and Leeds)
• London

Work Type

• Minimum of 50% of working time in the office each month (60% for Directors and Executive Directors)
• Part-time
• Job sharing

Experience Level

• Associate – Level 8 - Practising Legal

Education Level

• Valid practising certificate issued by the Solicitors Regulation Authority for England and Wales (if a solicitor)
• Valid practising certificate issued by the General Council of the Bar for England and Wales (if a barrister)
• Similar internationally recognised qualification

Salary/Compensations

• National (Edinburgh and Leeds) ranging from £47,200 to £62,900
• London from £50,300 to £67,000

Benefits

• 25 days annual leave plus bank holidays
• Non-contributory pension (8–12% depending on age)
• Life assurance at eight times your salary
• Private healthcare with Bupa
• Income protection
• 24/7 Employee Assistance
• 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 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.

Equal Opportunity

• 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.
• If you require any adjustments due to a disability or condition, your recruiter is here to help - reach out for tailored support.
• 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.
• In cases of high application volumes, we may progress applicants whose experience most closely matches the role’s key requirements.