Investigations Team Manager – Wholesale and Unauthorised Business Investigations – Enforcement and Market Oversight

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.

As an Investigations Team Manager in Wholesale Enforcement, you would lead a team focused on criminal and regulatory investigations and litigation into serious misconduct in wholesale financial markets. This includes insider dealing, fraudulent trading, market manipulation, and misleading statements.

The Enforcement investigation team manager is a critical role within Enforcement and Market Oversight (EMO).   You will be expected to provide leadership to a multi-disciplinary team, to develop the talent within that team, delegate responsibly, and to set clear standards for what your team produce and how it is produced.  You will be responsible for managing a portfolio of cases in an environment which is fast paced.

You will be accountable for the investigations that your team run, which may include giving evidence as a witness in the Tribunal or in criminal prosecutions in respect of the way an investigation has been conducted.

What will you be doing?

You will be responsible for a team conducting investigations, including evidence gathering and interviews, manage settlement and external discussions and attending court to give evidence as required. You will also be working with other Managers, Heads of Department (HoDs), EMO Directors and stakeholders (both internal and external).

You will be supporting the HoD and being part of the departmental leadership team to further the strategic management of the Department and the Division.

In addition, you will take part in recruitment for EMO, including identifying suitable candidates and conducting interviews. Some of the key responsibilities are set out below:

• Project Sponsor or Project Manager for a portfolio of complex cases, having day to day operational conduct of cases
• Overseeing and managing the work of Lead Associates, Senior Associates, Associates and ensuring effective progression of projects and cases to reach timely outcomes, escalating issues to the Head of Department where necessary
• Be accountable for the investigations in front of a Board of senior colleagues and be able to explain strategy and decision making credibly and support others doing the same
• Responsible for managing a multidisciplinary team or around 8 to 12 investigators to ensure that the case team’s portfolio of cases is progressed in an efficient, effective and focussed manner
• Managing relationships with senior external stakeholders, including firms and their legal representatives, other relevant law enforcement or government agencies, and internal stakeholders including market oversight, supervisory areas, senior management and the press office
• Line management responsibilities, including being responsible for direct reports’ development and appraisals, and ensuring optimal performance by managing any cases of poor performance or conduct in a timely manner

View on member website