Senior Associate Practising legal – Financial Conduct Authority Careers Stratford-upon-Avon

Overview

Position Title: Senior Associate Practising legal

Company: Financial Conduct Authority

Location: Stratford-upon-Avon, UK

Job Description

The Relationship Management and Vetting Team is the first point of contact for all queries relating to Wholesale Enforcement investigations and Wholesale interventions. RMVT closely liaises with Market Oversight, Wholesale Supervision, Competition Enforcement, Law & International, and other internal stakeholders, to advise on the use of Enforcement tools and decisions to open an Enforcement investigation into a firm and/or individuals. RMVT also supports Enforcement’s relationship with external partners such as the SFO and FRC. RMVT works with the Wholesale case teams, Wholesale Senior Leadership Team and the Director of Wholesale and Unauthorised Business Investigations to ensure that Enforcement investigations are used effectively to investigate serious misconduct in an efficient manner.

Responsibilities:

• work independently using judgement, experience and knowledge to vet misconduct identified by a stakeholder and then form a view on the seriousness of the misconduct and recommend whether the Enforcement toolkit may be the appropriate tool to deal with any suspected serious misconduct;
• draft papers for and attend the fortnightly/monthly Investigations Decision Committee meetings (MOIDC and SIDC) and present matters to the Committee for an investigation opening decision, including supporting the presentations by stakeholders and answering any questions the Committee may have;
• deal with ad hoc, often time critical, requests for information or support from EMO or the wider FCA, using judgement to decide whether RMVT can assist by itself or to call for input from Wholesale Enforcement, EMO or the wider FCA;
• support the Wholesale Enforcement Leadership Team by collating and analysing MI and coordinating regular strategy, portfolio and MI meetings with the Leadership Team and its internal stakeholders; and
• support Enforcement’s relationship with external partners such as the SFO and FRC.

Requirements:

• Qualified lawyer, with a valid practising certificate issued by the Solicitors Regulation Authority for England and Wales (if a solicitor), or the General Council of the Bar for England and Wales (if a barrister) (or a similar internationally recognised qualification).
• Post qualification experience in any of the following areas: contentious financial services or other regulatory investigations or proceedings; financial markets; investigations involving serious fraud or other complex financial crime; complex litigation or disputes.
• Experience of managing and progressing a challenging and varied caseload involving a range of investigative techniques and legal processes.