Senior Associate

2 weeks ago

London, United Kingdom Financial Conduct Authority Full time

Senior Associate - Market Abuse Investigator, Market Conduct, Secondary Market Oversight (SMO)

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.

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 does the role involve? What are the key responsibilities?- Reviewing allegations of market abuse and determining which cases should be recommended for formal investigation by Enforcement.- Proactive information gathering to build our intelligence picture and identify emerging risks.- Conducting pre-Enforcement referral investigation and analysis.- Delivering non-Enforcement outcomes.- Providing expertise in relation to financial markets and gathering and analysing evidence to support Enforcement investigations.

This is an exciting opportunity to take on a varied and demanding role in a team that is at the forefront of identifying and escalating suspicions of market abuse. The role is directly focused on maintaining the integrity of the UK’s financial services system.

You will:
- Get a varied portfolio of interesting casework and the responsibility to develop it.- Engage with a wide variety of internal and external stakeholders, including FCA senior management.- Work with Enforcement to develop investigations into the most serious misconduct.- Work quickly, reacting to market events but also have the opportunity to develop deeper investigative work.- Receive schedule of training events covering a wide range of secondary markets issues.- Work in a friendly and collegiate environment which values co-operation, career development and enjoyment.

Skills/Experience Required

Minimum- Worked in a role with exposure to market abuse risks or,- Experience of working in a role that requires an understanding of UK equity markets.

Essential- Strong analytical and communications skills.- Strong team player.- 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.

Desirable- Experience of working with and manipulating transaction reporting data.- Experience of investigating market abuse and/or other financial crimes.- Detailed understanding of the relevant market abuse legislation.

About the FCA

At the FCA, we’re creating a fair and more resilient financial system. We’re establishing more transparent relationships between financial services and their customers, building trust in financial markets and protecting vulnerable consumers.

The FCA's Values & Diversity

Our ambition is to create a diverse and inclusive workplace that reflects the society we serve, helping us to be a better regulator.
- Useful Information- This role is graded as Senior Associate Regulatory-
- Applications for this role close on 12th February 2023-
- The role is based in London-
- The salary for this role will be £50,000 - £65,000, plus a competitive- benefits package
- and non-contributory pension. The salary offered will be based on skills & experience- The FCA supports hybrid working and you will be expected to work 40% of your time over a month, in our office. We will consider other flexible arrangements, for example part time working, and you can discuss this with the recruiter.
- If you are interested learning more about the role, please contact Louise Nash on

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