Lead Associate

2 weeks ago

London, United Kingdom Financial Conduct Authority Full time

The Role: Lead Associate (Practising Legal) Investigating Lawyer

The Financial Conduct Authority (FCA) are currently looking for a senior Investigating Lawyer (Lead Associate) to join the Wholesale Department.

What does the role involve? What are the key responsibilities?
- Enforcement & Market Oversight (EMO)_ is responsible for the FCA’s primary market functions including monitoring markets, investigation and prosecution of misconduct, pursuing and remedying misconduct using the whole spectrum of criminal, civil and administrative sanctions and remedies against firms and individuals.

The division aims to:

- Be a world leading function, with professional and motivated staff, taking the right cases that have a positive impact on the way financial services work.
- Promote the conduct that supports trusted, orderly, and efficient primary and secondary markets.

EMO - Enforcement
- Enforcement conducts forensic investigations into suspected misconduct and, where appropriate, pursues and remedies misconduct by firms and individuals through criminal, civil and administrative sanctions and orders including:

- Bringing criminal prosecutions and seeking penalties to deter misconduct.
- Requiring compensation to redress the consequences of misconduct, where appropriate.

High level strategic oversight of Enforcement’s case work is provided by a Project Board made up of EMO’s Divisional Leadership Team. Project teams regularly attend Project Boards to provide updates to the Divisional Leadership Team and receive advice on case direction.

Wholesale Departments

There are two Wholesale enforcement departments, both of which deal with insider dealing, market abuse and wholesale misconduct cases using a combination of regulatory and criminal powers and enforcement options.

The Wholesale 1 department is recruiting for a Leading Associate to work in a multi-disciplinary case team on regulatory and criminal matters.

The main function of the department is to conduct forensic investigations into suspected misconduct in the Wholesale markets and, where appropriate, pursue and remedy misconduct by firms and individuals through regulatory, criminal and civil sanctions and orders. This includes seeking regulatory penalties and prohibitions to deter misconduct and bringing criminal prosecutions.
- An opportunity to lead and work on high-profile cases of public importance as part of multi-disciplinary teams.
- A challenging, interesting and varied portfolio of work, working with colleagues from across the Division and other parts of the FCA.
- Engagement with senior management at the highest levels within the FCA and wider law enforcement community
- A chance to contribute to the strategic management and direction of a Division that is key to delivering the FCA’s objectives.

Skills/Experience Required

Minimum
- 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).
- At least six years’ relevant post qualification experience.
- Demonstrable and substantial experience of regulatory and/or civil investigations.
- In-depth professional experience of working on the full investigative life-cycle with responsibility for scoping, planning, ongoing management and full delivery of investigations.
- Professional experience of managing and directing the work of colleagues, monitoring their progress against deadlines and managing operational risks.
- Professional experience of leading investigations as well as cases that are in litigation.
- Experience of analysing large amounts of information, drawing out key findings and, producing formal written reports including making recommendations.
- Strong written communication skills - including experience of making oral and written presentations.

Essential
- Capable of leading difficult cases, including ones that may involve high-profile regulatory breaches in the Wholesale markets.
- Ability to assess and analyse complex evidence to form a view as to what action is warranted, what further evidence may be required/available and how it might be obtained.
- Strong communication skills to present the outcome of analysis clearly and effectively, orally and in writing.
- Ability to assist the case team in developing a case strategy, including identifying key risks and suggesting steps to mitigate those risks.
- Ability to make timely decisions based on relevant analysis, exercising judgement on the evidence and being able to defend those judgements where appropriate.
- Strong relationship management skills to build and maintain effective working relationships with colleagues in other business units and with external bodies.
- Ability to thrive in a varied multi-project caseload, maintaining appropriate progress across a portfolio of projects and workstreams.
- A track reco

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