See more Collapse

Market Abuse Investigations Associate

2 months ago


London, United Kingdom Financial Conduct Authority Full time

Market Abuse Investigations, Associates - 12 month fixed term contract

Market Conduct, Secondary Market Oversight (SMO)

Reducing and preventing financial crime is a priority area for the FCA. We want to see clean, transparent and fair markets in securities, delivering assertive action on market abuse.

SMO is part of Market Oversight and is responsible for investigating and prosecuting insider dealing and market manipulation. These roles are in teams that investigate allegations of criminal and civil market abuse offences, particularly equity insider dealing.

We are looking to recruit an enthusiastic Associate on a 12 month fixed term contract, whose focus will be reviewing allegations of market abuse, to determine which require more detailed investigation. The successful applicants will manage their own portfolio of cases and work with our Enforcement colleagues to prosecute the most serious cases.

What does the role involve? What are the key responsibilities?

The key responsibilities of the successful applicants will be:
- Reviewing allegations of market abuse and making recommendations on which require further investigation.- Conducting pre-Enforcement referral investigation and analysis.- Providing financial markets expertise to support Enforcement investigations.- Delivering non-Enforcement outcomes.

You will benefit from:
- Exposure to interesting, varied work in a priority area for the FCA.- 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.

Skills/Experience Required

Minimum- Worked in a role with exposure to market abuse risks.- 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.- 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 using trade surveillance systems.

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- The role is graded as Associate - Level 8 - Regulatory.- Applications for this role close on Monday 8th May 2023.- This is a 12 month fixed term contract based in London.- The salary range for this role will be £55,000 plus a competitive- benefits package
- and non-contributory pension, the salary offered
- _ _will be based on skills & experience,- Stage 3: Selection & assessment process.

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


We have other current jobs related to this field that you can find below


  • London, United Kingdom Financial Conduct Authority Full time

    Investigator, Market Abuse **Salary**: National ranging from £49,700 to £63,500 and London from £53,300 to £70,000 per annum Are you interested in joining a team that assesses, reviews and investigates allegations of criminal and civil market abuse offences? The FCA is responsible for investigating and prosecuting insider dealing and market...


  • London, Greater London, United Kingdom Financial Conduct Authority Full time

    Investigator, Market AbuseSalary: National ranging from £49,700 to £63,500 and London from £53,300 to £70,000 per annumAre you interested in joining a team that assesses, reviews and investigates allegations of criminal and civil market abuse offences?The FCA is responsible for investigating and prosecuting insider dealing and market manipulation. This...


  • London, United Kingdom REV & REGS LIMITED Full time

    Rev & Regs are recruiting for a Market Abuse Associate position for a well-established FinTech focussed Investment Management & Trading organisation in the City of London. The Market Abuse Associate will support the existing Market Abuse Manager, in managing all suspicious activity relating to potential Market Abuse. Responsibilities: Undertake daily...


  • London, Greater London, United Kingdom REV & REGS LIMITED Full time

    Rev & Regs are recruiting for a Market Abuse Associate position for a well-established FinTech focussed Investment Management & Trading organisation in the City of London. The Market Abuse Associate will support the existing Market Abuse Manager, in managing all suspicious activity relating to potential Market Abuse. Responsibilities:Undertake daily trade...


  • London, United Kingdom ETRA Talent Full time

    Market Abuse Associate Location: London Reports To: Head of Compliance The Market Abuse Associate will play a crucial role in supporting the firm's efforts to identify, investigate, and mitigate potential market abuse activities. This position involves daily trade surveillance, conducting in-depth investigations, and ensuring compliance with...


  • London, United Kingdom ETRA Talent Full time

    Market Abuse Associate Location: London Reports To: Head of Compliance The Market Abuse Associate will play a crucial role in supporting the firm's efforts to identify, investigate, and mitigate potential market abuse activities. This position involves daily trade surveillance, conducting in-depth investigations, and ensuring compliance with regulatory...


  • London, Greater London, United Kingdom ETRA Talent Full time

    Market Abuse Associate Location: London Reports To: Head of Compliance The Market Abuse Associate will play a crucial role in supporting the firm's efforts to identify, investigate, and mitigate potential market abuse activities. This position involves daily trade surveillance, conducting in-depth investigations, and ensuring compliance with regulatory...


  • London, United Kingdom Financial Conduct Authority Full time

    Commodity Market Abuse Investigator **Salary**: National ranging from £50,000 to £63,000 and London from £55,000 to £70,000 per annum - Are you interested in joining_ - a team that plays a key role in delivering the FCA’s strategy in combatting market abuse?_ Market Oversight is responsible for overseeing primary and secondary market activity through...


  • London, United Kingdom Financial Conduct Authority Full time

    Fixed Income Market Abuse Investigator **Salary**: National ranging from £50,000 to £63,000 and London from £55,000 to £70,000 per annum - Are you interested in joining_ - a team that plays a key role in delivering the FCA’s strategy in combatting market abuse?_ Market Oversight is responsible for overseeing primary and secondary market activity...

  • Market Abuse Associate

    2 months ago


    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a successful brokerage firm, providing innovative ways to trade Stocks, ETFs, Forex, Commodities, and more. *** **THE RESPONSIBILITIES**: - Undertake daily trade surveillance activities using the firm’s automated surveillance tool and investigate alerts - Identify risks/issues and discrepancies and proactively escalate -...


  • London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Do you have the skills to fill this role Read the complete details below, and make your application today.Our client isa successful brokerage firm, providing innovative ways to trade Stocks, ETFs, Forex, Commodities, and more.THE RESPONSIBILITIES:Undertake daily trade surveillance activities using the firm’s automated surveillance tool and...


  • London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful brokerage firm, providing innovative ways to trade Stocks, ETFs, Forex, Commodities, and more.THE RESPONSIBILITIES:Undertake daily trade surveillance activities using the firm’s automated surveillance tool and investigate alerts in a timely manner.Identify risks/issues and discrepancies and proactively escalate to...


  • London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful brokerage firm, providing innovative ways to trade Stocks, ETFs, Forex, Commodities, and more.THE RESPONSIBILITIES:Undertake daily trade surveillance activities using the firm’s automated surveillance tool and investigate alerts in a timely manner.Identify risks/issues and discrepancies and proactively escalate to...


  • London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful brokerage firm, providing innovative ways to trade Stocks, ETFs, Forex, Commodities, and more. THE RESPONSIBILITIES: Undertake daily trade surveillance activities using the firm’s automated surveillance tool and investigate alerts in a timely manner. Identify risks/issues and discrepancies and proactively...


  • London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful brokerage firm, providing innovative ways to trade Stocks, ETFs, Forex, Commodities, and more.THE RESPONSIBILITIES:Undertake daily trade surveillance activities using the firm’s automated surveillance tool and investigate alerts in a timely manner.Identify risks/issues and discrepancies and proactively escalate to...


  • London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a successful brokerage firm, providing innovative ways to trade Stocks, ETFs, Forex, Commodities, and more. **THE RESPONSIBILITIES**: - Undertake daily trade surveillance activities using the firm’s automated surveillance tool and investigate alerts in a timely manner. - Identify risks/issues and discrepancies and...


  • London, Greater London, United Kingdom Trading 212 Ltd Full time

    This job is brought to you by Jobs/Redefined, the UK's leading over-50s age inclusive jobs board. Our mission is to enable everyone to build wealth We reinvent how trading and investing work by creating exceptional products people love. Fostering a culture of excellence and high velocity is the key to our success. Over the past few years, our client base...

  • Compliance Officer

    2 days ago


    London, United Kingdom InterQuest Group Full time

    Compliance Monitoring Officer (Market Abuse)Are you the right applicant for this opportunity Find out by reading through the role overview below.FinTech – LondonImagine joining a dynamic and innovative fintech offering cutting-edge platform that makes investing accessible to everyone, with a mission to democratize the financial marketsThis firm is renowned...

  • Compliance Officer

    3 days ago


    London, United Kingdom InterQuest Group Full time

    Compliance Monitoring Officer (Market Abuse)FinTech – LondonImagine joining a dynamic and innovative fintech offering cutting-edge platform that makes investing accessible to everyone, with a mission to democratize the financial markets This firm is renowned for its user-friendly interface, commission-free trading options, and a vast array of investment...


  • London, United Kingdom Financial Conduct Authority Full time

    Senior Fixed Income Market Abuse Specialist Location London / Leeds / Edinburgh Salary National ranging £54,600 - £68,300 and London £60,000 - £75,000 Background At the FCA, we are creating a fair and more resilient financial system. We are establishing more transparent relationships between financial services and their customers, building trust in...