Senior Disclosure Officer

Requirements of the role

We regulate financial services firms in the UK, to keep financial markets fair, thriving and effective. By joining us, you’ll play a key part in protecting consumers, driving economic growth and shaping the future of UK finance services.

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. Sitting within the Wholesale and Unauthorised Business Investigations Directorate, the Unauthorised Business Department protects consumers by policing the regulatory perimeter, tackling unauthorised financial activity, and raising awareness to help people make informed decisions and avoid scams.

Role responsibilities

You will be the Disclosure Officer (DO) in a team charged with investigating and potentially prosecuting dual track and/or criminal offences. You will be responsible for undertaking the statutory functions of a DO in accordance with the Criminal Procedure and Investigations Act 1996 (CPIA) and associated legislation and guidance. As part of your role you will:

• Develop and implement strategic disclosure plans that help deliver high‑quality investigations and enhance the FCA’s ability to address serious financial misconduct
• Maintain appropriate documentation, including disclosure protocols, decision logs and Disclosure Management Documents to support timeline investigative and litigation outcomes
• Identify and collate relevant internal and external material and review for disclosure per CPIA, utilising evidence management platforms and ensuring robust audit trails
• Create unused material schedules (sensitive and non-sensitive) and prepare disclosable material for service.
• Work collaboratively with investigators and lawyers to shape case strategy, refine investigation scope, identify and mitigate key disclosure risks, and ensure compliance with CPIA.
• Assist in the preparation of cases for trial in the Crown Court and giving evidence if required, contributing to the credibility and effectiveness of FCA prosecutions
• Provide guidance to and oversight of junior colleagues, including Disclosure Officers, where appropriate, ensuring consistent high-quality delivery
• Where appropriate, act as Deputy DO to support the work of more senior colleagues in the delivery of the FCA’s CPIA obligations

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