Market Abuse investigator - Senior Associate at Fca

Senior Associate - Market Abuse Case Officer

Division - Enforcement and Market Oversight

Department – Secondary Market Oversight

Team - Market Abuse Enquiries

Salary - National (Edinburgh and Leeds) ranging from £52,400 – £70,000 and London from £57,700 – £75,000 per annum (Salary offered will be based on skills and experience)

About the FCA

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 is responsible for investigating and prosecuting insider dealing and market manipulation. This role is in a team that assesses, reviews and investigates allegations of criminal and civil market abuse offences, with a focus on examining complex and high value equity insider dealing.

Market Oversight (MO) is responsible for overseeing primary and secondary market activity through its role under the market abuse, listing and short-selling regimes.

The Market Abuse Enquiries teams are part of Secondary Market Oversight, which have the primary responsibility for identifying and reviewing cases of potential market abuse, and refers the most serious cases to Enforcement for investigation.

We are looking to recruit an enthusiastic Senior Associate, whose focus will be reviewing allegations of market abuse, carrying out early case development work, identifying potentially serious market abuse and supporting Enforcement investigations. The successful applicant will manage their own portfolio of casework.

What will you be doing?

The key responsibilities of the successful applicant will be:

• Reviewing allegations of market abuse and determining which cases should be recommended for further review and/or formal investigation by Enforcement

• Proactive information gathering to build our intelligence picture and identify emerging risks

• Conducting pre-Enforcement referral investigation and analysis, predominantly using transaction reporting data

• Delivering non-Enforcement outcomes

• Providing expertise in relation to financial markets and gathering and analysing evidence to support Enforcement investigations

• Supporting and mentoring more junior members of the team

What will you get from the role?

Working in the Market Abuse Enquiries team, you will benefit from:

• Exposure to interesting, varied work in a priority area for the FCA with the opportunity to provide technical input

• The opportunity to take responsibility for your own caseload, making recommendations and decisions to achieve a variety of outcomes

• The opportunity to work as an Appointed Investigator on Enforcement investigations

• Work closely with other areas of the FCA to tackle firms who facilitate financial crime

Which skills are required?

We are a Disability Confident Employer; therefore, disabled people or individuals with long-term conditions who best meet the minimum criteria for a role will go through to the next stage of the recruitment process. (To learn more about the Disability Confident Scheme Click Here)

Minimum

• Prior experience in a role with exposure to market abuse

• Prior experience of working in a role that requires an understanding of the UK equity markets

• Prior experience in a role which involved investigating market abuse and/or other financial crimes

Essential

• Strong analytical and communications skills

• The ability to make sound, evidence-based judgments and recommendations alongside a flexible and adaptable approach

• Ability to prioritise when handling multiple work-streams

• Self-starter with proactive approach to acquiring skills and getting the job completed

• Curiosity with an enthusiasm for learning and sharing knowledge

• Detailed understanding of the relevant market abuse legislation

• Experience of working with and manipulating transaction reporting data

• Strong team player

Our Values & Diversity

We are proud to be an inclusive employer and our ambition is to cultivate a culture for all employees that respects their individual strengths, views, and experiences. 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.

Within the workplace you will have access to various employee resource groups which aim to promote and achieve a healthy work / life balance and support our diversity ambitions.

Did you know? 50% of our Executive Committee were the first in their family to attend university.

Benefits of working at the FCA

• 25 days holiday per year plus bank holidays

• Hybrid working (work from home up to 60% of your time)

• Private healthcare with Bupa  

• A non-contributory Pension of at least 8% of basic salary each month (there are several contribution levels that increase depending on your age – up to 12% a month once you reach age 35)  

• Life assurance of eight times your basic salary  

• Income protection  

We also have a competitive flexible benefits scheme which gives you the opportunity to create a personalised benefits package, tailored to suit your lifestyle.

We welcome applications from candidates who are looking for flexible arrangements.  Many of our staff work flexibly including working part-time, staggered hours, and job shares.  We can’t promise to give you exactly what you want but we can explore what might work best for both sides.

Follow this link to see what life is like at the FCA - Life at the FCA

Application Support

We are dedicated to removing barriers and ensuring our application process is accessible to everyone. We offer a range of adjustments to make your application experience as comfortable and straightforward as possible.

If you have an accessibility need, disability, or condition requiring changes to the recruitment process, please contact your recruiter using the details below and they will be happy to discuss this further with you.

Useful Information and Timeline

• This role is graded as Senior Associate - Regulatory

• Advert Closing Date: Midnight on Monday 27th October

• CV Review/Shortlist: Wednesday 29th October

• Competency Based Interview: W/C Monday 3rd November

Your Recruiter will discuss the process in detail with you during screening for the role, therefore, please make them aware if you are going to be unavailable for any date during this time. 

Got a question?

If you are interested in learning more about the role, please contact: [email protected]

Applications must be submitted through our online portal. Applications sent via email will not be accepted.