Disclosure Officer

Requirements of the role

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.

The Enforcement division conducts forensic investigations into suspected misconduct and, where appropriate, pursues and remedies misconduct by firms and individuals through criminal, civil and administrative sanctions and orders including:

• Bringing criminal prosecutions and seeking penalties to deter misconduct
• Applying for civil orders to provide an appropriate degree of protection for consumers
• Requiring compensation to redress the consequences of misconduct, where appropriate

The Criminal Disclosure Unit is responsible for undertaking criminal disclosure exercises in accordance with the Criminal Procedure & Investigations Act 1996 and associated legislation. It also advises on, and ensures, that best and consistent practice is maintained in all criminal disclosure exercises within EMO. The Unit is also responsible for LPP risk management in all criminal investigations and in complex regulatory investigations to mitigate the risk to the organisation of Legal Professional Privilege.

What will you be doing?

• Lead our Tier 2/3 disclosure exercises in line with the overall management strategy set by the Disclosure Strategy Manager
• Perform a variety of strategic and disclosure roles across a portfolio of investigations.  This includes both direct management and operational control of disclosure exercises within the case portfolio as well as advisory roles
• Being externally accountable for all aspects of disclosure exercises
• Overseeing and managing the work of junior associates when necessary and ensuring effective progression of the exercise to reach timely outcomes.  This includes providing technical guidance on the substance of disclosure exercises and strategic advice and support, escalating issues to the disclosure strategy manager and the manager where necessary
• Taking operational control of disclosure exercises in line with the statutory framework, Codes of Practice and associated guidelines as well as with internal policy.
• Preparing for and presenting on progress at project boards
• Ability to assist the investigation team in focusing the scope of an investigation and developing a case strategy, including identifying key risks and suggesting steps to mitigate those risks
• Providing advice to the investigation team on disclosure duties, requirements and legal queries
• Drafting (and overseeing the drafting) of all forms of documents (including disclosure schedules, disclosure plans, disclosure review guidance and Disclosure Management Documents)

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