
Financial Conduct Authority
Regulating financial services firms and financial markets in the UK, https://www.fca.org.uk/careers
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 FCA’s Enforcement and Market Oversight (EMO) is recruiting permanent and FTC Regulatory Investigators – Senior Associate Level 7. There is currently a vacancy in the Retail and Regulatory Directorate and FTC vacancies in Wholesale 2 further vacancies may arise in the Directorates.
EMO investigates misconduct in financial services that affects UK consumers and the financial markets. We bring regulatory, civil and criminal cases against firms and individuals to punish wrongdoers, deter others from wrongdoing and change behaviours. Effective, fair and impactful enforcement is critical to the success of the FCA.
The FCA receives reports from many different sources that indicate potential misconduct, and we are continually presented with challenging and intellectually stimulating cases. Our cases involve critical issues that matter to consumers and market participants and attract large scale media attention. Our work covers a diverse range of issues including fraudulent conduct, corporate governance failings, market abuse and product mis-selling.
Working in EMO at the FCA is a great career option if you have a strong sense of public duty and are motivated to do the right thing and make a positive difference to the lives of consumers and the UK financial market generally.
Retail and Regulatory Investigations (RRI)
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.
Wholesale Enforcement Department (WUBI)
The Wholesale department 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.
Unauthorised Business Department (UBD)
UBD investigates firms that are not authorised by the FCA but are carrying out activities that require authorisation. Unauthorised firms pose a significant risk to consumers – UBD has civil and criminal powers to tackle these firms and protect consumers. UBD cases typically involve high-loss investment/Ponzi type frauds, illegal trading schemes and boiler room operations.
What will you be doing?
Senior Associates are senior members of our case teams and play a vital role throughout the wider department. As a Senior Associate:
You will help progress and, in some cases, lead investigations, taking on differing degrees of responsibility depending on their nature and complexity, and managing your work to meet competing deadlines. This could range from running smaller cases with management oversight, to working as part of a wider team on larger more complex cases
You will be involved in all aspects of investigations from strategic planning, delegating tasks within the team, obtaining evidence using appropriate powers, drafting and reviewing all forms of documents, taking part in interviews of subjects and witnesses, analysing evidence and making judgements and recommendations throughout the lifetime of an investigation
You will be a role model within your team, always willing to share your knowledge and expertise and have mentoring responsibilities for junior colleagues.
You will contribute to Departmental or Divisional Corporate Projects which are designed to support and improve our processes and systems and the way that we work
You will build and maintain effective working relationships with senior colleagues in other areas within the FCA and with counterparts at key external stakeholders
Legally qualified candidates in this role would also be expected to provide legal advice to the case team and where appropriate take responsibility for the preparation of privileged correspondence
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ViewLocation
London, Leeds, EdinburghContract type
Full time, Permanent
Profession
Investigator, Senior
Working pattern
Flexible working, Hybrid
Closing Date
15/07/2025