Market Abuse Investigations, Associate

2 weeks ago

London, United Kingdom Financial Conduct Authority Full time

Market Abuse Investigations, Associates

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 enthusiastic Associates, 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 roles are graded as Associate - Level 8 - Regulatory.- Applications for this role close on Monday 8th May 2023.- These are permanent positions 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

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