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https://fca.org.uk
Financial Conduct Authority
Financial Conduct Authority
FCA.org.uk is the website of the Financial Conduct Authority (FCA), a regulatory body in the UK that oversees financial services firms and markets to ensure they operate in the best interests of consumers. The website provides a wealth of information and guidance for individuals and businesses on financial matters, including banking, investments, insurance, mortgages, and consumer credit. It also contains details on the FCA's regulatory responsibilities, enforcement actions, and industry updates. Visitors can access reports and publications, research and data, and use tools to check the authorisation status of firms or register complaints. Overall, the FCA.org.uk website aims to promote a fair and transparent financial system in the UK.
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CityDublin, Leinster
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Latitude\Longitude53.3379 / -6.2591 Google Map
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Traffic rank#4,450 Site Rank
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Site Owner informationWhois info
Website is Safe
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Jurisdiction
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Agency_executivesNikhil Rathi; (Chief Executive)
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Headquarters
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#4,450
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Ireland
Popular Questions for Financial Conduct Authority
Newest job postings for Financial Conduct Authority
via JobLeads
posted_at: 11 hours agoschedule_type: Full-time
To understand how the FCA collects and processes personal data please refer to the FCA privacy notice .
domain and its sub-domains. It does not apply to content on https://www.fca.org.uk/ or other domains.
This website is run by the Financial Conduct Authority. We are committed to inclusive design and ensuring that our web content is accessible to all.
For example, that means you should be able to:
• zoom in up to 300% without the text spilling
To understand how the FCA collects and processes personal data please refer to the FCA privacy notice .
domain and its sub-domains. It does not apply to content on https://www.fca.org.uk/ or other domains.
This website is run by the Financial Conduct Authority. We are committed to inclusive design and ensuring that our web content is accessible to all.
For example, that means you should be able to:
• zoom in up to 300% without the text spilling off the screen
• navigate most of the website using just a keyboard
• navigate most of the website using speech recognition software
• listen to most of the website using a screen reader (including the most recent versions of JAWS, NVDA and VoiceOver)
We’ve also ensured that the text is clear and easy to understand.
AbilityNet has advice on making your device easier to use if you have a disability.
How accessible this website is
We know some parts of this website are not fully accessible:
• Checkboxes are not accessible using standard... voice commands.
• Some radio buttons are not given group titles when tabbing to them using a screen reader.
• Edit combo fields with options lists can be difficult to navigate to with voice commands when the field is completed.
• The programmatic labelling of edit combo fields with options lists is not clear when using a screen reader.
Feedback and contact information
If you need information on this website in a different format contact us and tell us:
• the web address (URL) of the content
• your name and email address
• the format you need – for example large print, braille or audio
Reporting accessibility problems with this website
We’re always looking to improve the accessibility of this website. If you find any problems not listed on this page or think we’re not meeting accessibility requirements, contact us .
The Equality and Human Rights Commission (EHRC) is responsible for enforcing the Public Sector Bodies (Websites and Mobile Applications) (No. 2) Accessibility Regulations 2018 (the ‘accessibility regulations’). If you’re not happy with how we respond to your complaint, contact the Equality Advisory and Support Service (EASS) .
Technical information about this website’s accessibility
The Financial Conduct Authority is committed to making its website accessible, in accordance with the Public Sector Bodies (Websites and Mobile Applications) (No. 2) Accessibility Regulations 2018.
The content listed below is non-accessible for the following reasons.
Non-compliance with the accessibility regulations
• Checkboxes are not accessible using standard voice commands such as “Click checkbox” and can only be accessed by using “Tab” commands. This fails WCAG 2.1 success criterion 1.3.1 (Information & Relationships).
• Some radio buttons are not given group titles when tabbing to them using a screen reader. This fails WCAG 2.1 success criterion 1.3.1 (Information & Relationships).
• Edit combo fields with options lists can be difficult to navigate to with voice commands when the field is completed. This fails WCAG 2.1 success criterion 1.3.1 (Information & Relationships).
• The programmatic labelling of edit combo fields with options lists is not clear when using a screen reader. This fails WCAG 2.1 success criterion 1.3.1 (Information & Relationships).
What we’re doing to improve accessibility
We are actively engaging with our site developers and independent accessibility professionals to address the issues above and improve overall accessibility with the eventual goal of attaining full WCAG AA compliance.
Preparation of this Accessibility Statement
This statement was prepared on 22nd July 2021. It was last reviewed on 22nd July 2021.
This website was last tested on 02/02/2021. Testing was carried out by Blazie Engineering using the Website Accessibility Conformance Evaluation Methodology (WCAG-EM) approach to deciding on a sample of pages to test.
Senior Associate - Fixed Wholesale Insurer Supervision Team page is loaded Senior Associate - Fixed Wholesale Insurer Supervision Team
Apply locations London Leeds Edinburgh time type Full time posted on Posted Yesterday job requisition id JR0010502
The Role
We are looking for a Senior Associate to join the Fixed Wholesale Insurer Supervision Team in the Market Interventions Insurance Division.
This is a role that is high profile and offers a real opportunity for the successful candidate to gain a unique insight into firms’ strategies, business models and culture. You will be heavily involved in the supervision of wholesale general insurance to help ensure both an appropriate degree of protection for the customers of these firms and the integrity of the market.
As a Senior Associate, you will play an important role in the development and delivery of the supervisory strategies for Wholesale General Insurance firms. Through your understanding of regulation and firms’ business models, culture, products and customer, you will be responsible for ensuring that firms proactively mitigate conduct risk drivers of harm in a timely, rigorous and effective manner. In addition to that, you will have an opportunity to get involved in cross-firm work giving you an overview of varying practices across the market which will not only help you shape the supervisory strategy for the firms you are responsible for but also broaden your understanding of the market.
What does the role involve? What are the key responsibilities?
You will be part of team supervising global wholesale insurers. This is an excellent opportunity to develop your career within the FCA, to gain or improve your technical knowledge and expertise within this market sector and create valuable contacts across the industry and other regulatory bodies.
As a Senior Associate, you will have the following accountabilities and responsibilities:
• Help manage day to day relationships with key insurers in the wholesale insurance market, engaging with the most senior levels of management and governance at that firm
• Use experience, knowledge and professional judgement to make complex risk-based decisions e.g. on operational matters at a firm. Decide which critical and strategic decisions will be escalated
• Implement plans and actions arising from our agreed firm supervision strategies and make a significant contribution to setting the future strategy, in order to manage risk drivers of harm to consumers or to the integrity of the market
• Apply depth and breadth of regulatory knowledge and experience to analyse complex information to put forward recommendations for decision
• Prepare sensitive or complex written documents in accordance with FCA tone, managing communication plans to deliver key messages internally and externally
• Get involved with cross-Divisional projects
What will you get from the role?
• You will be a key part of a diverse and experienced team of colleagues with a wide range of backgrounds, who pride themselves on their supportive and collaborative approach to the task.
• You will be given a high degree of responsibility and empowerment, making important decisions and helping to make a difference to the financial well-being of consumers and to the insurance market.
• This will be an opportunity to contribute to and influence the FCA’s approach to conduct supervision of insurance.
• You will have influence over supervisory strategy and changing firms' senior management behaviour.
• There is training and support available for this role including from experienced colleagues and via formal training.
• This will give you an opportunity to work with colleagues across the FCA and other regulatory bodies and agencies.
• You will be working in a high-energy and stimulating division, within a supportive environment that continually seeks to develop staff members.
Skills/Experience Required
Minimum
We’re a signatory to the Government’s Disability Confident scheme. This means that we will offer an interview to disabled candidates entering under the scheme, should they meet the minimum criteria for a role. A minimum criterion needs to be measurable from reviewing a candidate’s CV. Exceptions may apply if due to the volume of applications we are not able to interview all eligible candidates who qualify under the scheme.
• Supervision experience and/or experience performing a similar role within a regulated firm (such as in audit or compliance); or
• Experience conducting external reviews of regulated firms whilst working in an external audit or consultancy capacity.
Essential
• Strong communication and organisational skills.
• Effective stakeholder engagement and interpersonal skills; able to both pose and respond to constructive questioning and challenge.
• Strong delivery ethos, team ethic and collaborative approach.
• Experience of delivering strategies to mitigate risks and identified failings using a range of tools including early intervention and investigative tools.
• Experience in dealing with contentious issues, taking decisive action and delivering difficult messages.
• Able to work under pressure, manage a variety of competing work streams and issues and, prioritise accordingly.
• Good understanding of the general insurance market; insurer and intermediary business models; and conduct risks.
Desirable
• Good understanding of our Approach to Supervision with a proven track record of compliance with related policies and procedures.
• Practical knowledge of our Principles and Handbook rules and requirements and related guidance.
• A sound understanding of good governance and risk management practices and frameworks.
• Project management skills.
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.
Divisional Information
The Insurance Division of Market Interventions is responsible for the supervision of around 6,000 regulated life and general insurance firms, ranging from high street intermediaries to large multi-national insurers. The division is also a centre of excellence for conduct supervision, providing specialist support to our supervision divisions and leading on areas including culture and governance, accountability for all firms, remuneration, financial promotions, consumer contracts issues and the use of skilled person reviews and attestations.
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.
As an inclusive employer, we are open to considering flexible working arrangements. Please contact our recruiter if you wish to apply for this role on a flexible basis.
Useful Information
• This role is graded as Senior Associate, Level 7, Regulatory
• The salary range for this role is 47 000 to 80,000 GBP together with a competitive flexible benefits package , flexible working arrangements and non-contributory pension.
The FCA has a national role and is committed to a national footprint. This role can be based in London, Edinburgh, or Leeds.
The FCA has London and National Pay ranges to reflect regional differences. The salary for this role will be:
London – £50,000 -£80,000 National (roles in Edinburgh/Leeds) – £47,000 - £72,000
• Applications for this role close on 22nd March 2023
If you are interested learning more about the role please contact Lucy Matthews on Lucy.matthews@fca.org.uk
Please note – Applications must be submitted through our online portal. Applications sent via email will not be accepted .
Similar Jobs (16)
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locations Leeds time type Full time posted on Posted 6 Days Ago Microsoft 365 Security Specialist
locations 3 Locations time type Full time posted on Posted 2 Days Ago About Us
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. Click here to learn more about the FCA Show more details...
domain and its sub-domains. It does not apply to content on https://www.fca.org.uk/ or other domains.
This website is run by the Financial Conduct Authority. We are committed to inclusive design and ensuring that our web content is accessible to all.
For example, that means you should be able to:
• zoom in up to 300% without the text spilling off the screen
• navigate most of the website using just a keyboard
• navigate most of the website using speech recognition software
• listen to most of the website using a screen reader (including the most recent versions of JAWS, NVDA and VoiceOver)
We’ve also ensured that the text is clear and easy to understand.
AbilityNet has advice on making your device easier to use if you have a disability.
How accessible this website is
We know some parts of this website are not fully accessible:
• Checkboxes are not accessible using standard... voice commands.
• Some radio buttons are not given group titles when tabbing to them using a screen reader.
• Edit combo fields with options lists can be difficult to navigate to with voice commands when the field is completed.
• The programmatic labelling of edit combo fields with options lists is not clear when using a screen reader.
Feedback and contact information
If you need information on this website in a different format contact us and tell us:
• the web address (URL) of the content
• your name and email address
• the format you need – for example large print, braille or audio
Reporting accessibility problems with this website
We’re always looking to improve the accessibility of this website. If you find any problems not listed on this page or think we’re not meeting accessibility requirements, contact us .
The Equality and Human Rights Commission (EHRC) is responsible for enforcing the Public Sector Bodies (Websites and Mobile Applications) (No. 2) Accessibility Regulations 2018 (the ‘accessibility regulations’). If you’re not happy with how we respond to your complaint, contact the Equality Advisory and Support Service (EASS) .
Technical information about this website’s accessibility
The Financial Conduct Authority is committed to making its website accessible, in accordance with the Public Sector Bodies (Websites and Mobile Applications) (No. 2) Accessibility Regulations 2018.
The content listed below is non-accessible for the following reasons.
Non-compliance with the accessibility regulations
• Checkboxes are not accessible using standard voice commands such as “Click checkbox” and can only be accessed by using “Tab” commands. This fails WCAG 2.1 success criterion 1.3.1 (Information & Relationships).
• Some radio buttons are not given group titles when tabbing to them using a screen reader. This fails WCAG 2.1 success criterion 1.3.1 (Information & Relationships).
• Edit combo fields with options lists can be difficult to navigate to with voice commands when the field is completed. This fails WCAG 2.1 success criterion 1.3.1 (Information & Relationships).
• The programmatic labelling of edit combo fields with options lists is not clear when using a screen reader. This fails WCAG 2.1 success criterion 1.3.1 (Information & Relationships).
What we’re doing to improve accessibility
We are actively engaging with our site developers and independent accessibility professionals to address the issues above and improve overall accessibility with the eventual goal of attaining full WCAG AA compliance.
Preparation of this Accessibility Statement
This statement was prepared on 22nd July 2021. It was last reviewed on 22nd July 2021.
This website was last tested on 02/02/2021. Testing was carried out by Blazie Engineering using the Website Accessibility Conformance Evaluation Methodology (WCAG-EM) approach to deciding on a sample of pages to test.
Senior Associate - Fixed Wholesale Insurer Supervision Team page is loaded Senior Associate - Fixed Wholesale Insurer Supervision Team
Apply locations London Leeds Edinburgh time type Full time posted on Posted Yesterday job requisition id JR0010502
The Role
We are looking for a Senior Associate to join the Fixed Wholesale Insurer Supervision Team in the Market Interventions Insurance Division.
This is a role that is high profile and offers a real opportunity for the successful candidate to gain a unique insight into firms’ strategies, business models and culture. You will be heavily involved in the supervision of wholesale general insurance to help ensure both an appropriate degree of protection for the customers of these firms and the integrity of the market.
As a Senior Associate, you will play an important role in the development and delivery of the supervisory strategies for Wholesale General Insurance firms. Through your understanding of regulation and firms’ business models, culture, products and customer, you will be responsible for ensuring that firms proactively mitigate conduct risk drivers of harm in a timely, rigorous and effective manner. In addition to that, you will have an opportunity to get involved in cross-firm work giving you an overview of varying practices across the market which will not only help you shape the supervisory strategy for the firms you are responsible for but also broaden your understanding of the market.
What does the role involve? What are the key responsibilities?
You will be part of team supervising global wholesale insurers. This is an excellent opportunity to develop your career within the FCA, to gain or improve your technical knowledge and expertise within this market sector and create valuable contacts across the industry and other regulatory bodies.
As a Senior Associate, you will have the following accountabilities and responsibilities:
• Help manage day to day relationships with key insurers in the wholesale insurance market, engaging with the most senior levels of management and governance at that firm
• Use experience, knowledge and professional judgement to make complex risk-based decisions e.g. on operational matters at a firm. Decide which critical and strategic decisions will be escalated
• Implement plans and actions arising from our agreed firm supervision strategies and make a significant contribution to setting the future strategy, in order to manage risk drivers of harm to consumers or to the integrity of the market
• Apply depth and breadth of regulatory knowledge and experience to analyse complex information to put forward recommendations for decision
• Prepare sensitive or complex written documents in accordance with FCA tone, managing communication plans to deliver key messages internally and externally
• Get involved with cross-Divisional projects
What will you get from the role?
• You will be a key part of a diverse and experienced team of colleagues with a wide range of backgrounds, who pride themselves on their supportive and collaborative approach to the task.
• You will be given a high degree of responsibility and empowerment, making important decisions and helping to make a difference to the financial well-being of consumers and to the insurance market.
• This will be an opportunity to contribute to and influence the FCA’s approach to conduct supervision of insurance.
• You will have influence over supervisory strategy and changing firms' senior management behaviour.
• There is training and support available for this role including from experienced colleagues and via formal training.
• This will give you an opportunity to work with colleagues across the FCA and other regulatory bodies and agencies.
• You will be working in a high-energy and stimulating division, within a supportive environment that continually seeks to develop staff members.
Skills/Experience Required
Minimum
We’re a signatory to the Government’s Disability Confident scheme. This means that we will offer an interview to disabled candidates entering under the scheme, should they meet the minimum criteria for a role. A minimum criterion needs to be measurable from reviewing a candidate’s CV. Exceptions may apply if due to the volume of applications we are not able to interview all eligible candidates who qualify under the scheme.
• Supervision experience and/or experience performing a similar role within a regulated firm (such as in audit or compliance); or
• Experience conducting external reviews of regulated firms whilst working in an external audit or consultancy capacity.
Essential
• Strong communication and organisational skills.
• Effective stakeholder engagement and interpersonal skills; able to both pose and respond to constructive questioning and challenge.
• Strong delivery ethos, team ethic and collaborative approach.
• Experience of delivering strategies to mitigate risks and identified failings using a range of tools including early intervention and investigative tools.
• Experience in dealing with contentious issues, taking decisive action and delivering difficult messages.
• Able to work under pressure, manage a variety of competing work streams and issues and, prioritise accordingly.
• Good understanding of the general insurance market; insurer and intermediary business models; and conduct risks.
Desirable
• Good understanding of our Approach to Supervision with a proven track record of compliance with related policies and procedures.
• Practical knowledge of our Principles and Handbook rules and requirements and related guidance.
• A sound understanding of good governance and risk management practices and frameworks.
• Project management skills.
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.
Divisional Information
The Insurance Division of Market Interventions is responsible for the supervision of around 6,000 regulated life and general insurance firms, ranging from high street intermediaries to large multi-national insurers. The division is also a centre of excellence for conduct supervision, providing specialist support to our supervision divisions and leading on areas including culture and governance, accountability for all firms, remuneration, financial promotions, consumer contracts issues and the use of skilled person reviews and attestations.
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.
As an inclusive employer, we are open to considering flexible working arrangements. Please contact our recruiter if you wish to apply for this role on a flexible basis.
Useful Information
• This role is graded as Senior Associate, Level 7, Regulatory
• The salary range for this role is 47 000 to 80,000 GBP together with a competitive flexible benefits package , flexible working arrangements and non-contributory pension.
The FCA has a national role and is committed to a national footprint. This role can be based in London, Edinburgh, or Leeds.
The FCA has London and National Pay ranges to reflect regional differences. The salary for this role will be:
London – £50,000 -£80,000 National (roles in Edinburgh/Leeds) – £47,000 - £72,000
• Applications for this role close on 22nd March 2023
If you are interested learning more about the role please contact Lucy Matthews on Lucy.matthews@fca.org.uk
Please note – Applications must be submitted through our online portal. Applications sent via email will not be accepted .
Similar Jobs (16)
User Researcher
locations Leeds time type Full time posted on Posted 6 Days Ago Microsoft 365 Security Specialist
locations 3 Locations time type Full time posted on Posted 2 Days Ago About Us
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. Click here to learn more about the FCA Show more details...
via Workday
posted_at: 4 days agoschedule_type: Full-timework_from_home: 1
Job title: Strategic Communications Advisor Perm Dept - Strategic Communications The team/department It is not often that you have the opportunity to join an organisation that genuinely makes an impact on, and for, consumers and financial businesses across the UK. 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
Job title: Strategic Communications Advisor Perm Dept - Strategic Communications The team/department It is not often that you have the opportunity to join an organisation that genuinely makes an impact on, and for, consumers and financial businesses across the UK. 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 financial markets and protecting vulnerable consumers. To succeed, we must communicate effectively: by consulting with our stakeholders, alerting consumers to risks and policy changes, achieving credible and visible deterrence by showcasing our actions to wider industry, and helping firms we regulate understand what is expected of them. This is an opportunity to play a vital role in this work and join the Strategic Communications Advisers (SCA) team, which sits at the heart of the Communications Division. The SCA team helps to communicate... the FCA’s priority work, so stakeholders understand our approach, and firms and consumers understand what it means for them. By developing and leading the delivery of communication strategies on FCA priorities, we make sure that the FCA’s most important communications are consistent and impactful What you will be doing: You will be responsible for developing and leading the delivery of communication strategies to help the FCA deliver its priority work. You will be a trusted communications adviser to the business, use your skills to develop effective communication strategies and plans, and then work collaboratively with colleagues across Communications to make them a reality. You will be responsible for: Providing business stakeholders with communication advice, including identifying risks to public confidence. Monitoring the external environment to identify communication challenges and issues, and recommending appropriate action. Developing communication strategies for business priorities, including maintaining a consistent narrative, working closely with internal stakeholders. Preparing communication plans for the publication of policy documents, including identifying communication objectives, key audiences and drafting clear messages. Developing content and communications products in support of agreed communications plans. Leading colleagues across Communications and the business to bring appropriate knowledge, resource and expertise together to ensure effective delivery of communications. The skills and experience you will have: We are a signatory to the Government’s Disability Confident scheme. This means that we will offer an interview to disabled candidates entering under the scheme, should they meet the minimum criteria for a role. A minimum criterion needs to be measurable from reviewing a candidate’s CV. Exceptions may apply if due to the volume of applications we are not able to interview all eligible candidates who qualify under the scheme. Minimum: Previous experience of managing communication projects. Essential: Ability to communicate clearly, concisely and in a compelling way, orally and in writing, for diverse audiences. Experience of turning complex business goals and information into communication objectives, clear key messages and engaging content. Ability to build strong working relationships both internally and externally, to persuade and influence and gain credibility and respect from all areas of the organisation. Strong planning and organisational skills and experience of working in a high-pressure environment, managing multiple project workstreams. Ability to work unsupervised and/or as part of a team, with the ability to balance, prioritise and manage competing demands. Willingness to exercise your own judgement and initiative Desirable: Experience of working in a communications role in financial services or public sector. What you get from the role: You will be joining at an exciting time as the FCA transforms to become a more innovative, assertive and adaptive regulator, and we embed our new approach across our communications. You will: Get the opportunity to use your skills to help deliver vital outcomes for consumers and financial markets. Gain a unique insight into the financial services industry. Be involved in interesting and fast-moving work in a friendly, collaborative environment. Get to work closely with colleagues across a range of communication functions and channels, from press and digital to public affairs and internal communications. The salary range in London is up to £64,000 per annum plus a competitive benefits package, including a non-contributory pension The salary range in Edinburgh & Leeds is up to £60,000 per annum plus a competitive benefits package, including a non-contributory pension This role is graded Senior Associate Our competitive Flexible Benefits Scheme gives you the opportunity to create a personalised benefits package, tailored to suit your lifestyle. You can use this allowance to purchase additional benefits such as dental or cycle to work or you have the option top up your base salary by taking this as cash. Additional information on the core benefits you will receive can be found here. About the FCA: The FCA regulates the conduct of 50,000 firms in the UK to ensure our financial markets are honest, fair and competitive. We do this to make sure markets work well for individuals, businesses and the economy as a whole. For more information on what we do, our three-year strategy can be found here. 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 Flexible working: We welcome applications from candidates who are looking for flexible arrangements. Many of our staff work flexibly including working from home, staggered hours, and job shares. We can’t promise to give you exactly what you want but we won’t judge you for asking. Multilocation & hybrid working: As part of the FCA’s on-going commitment to develop our national presence, most of our vacancies are now open to working in our Edinburgh, Leeds, and London offices. This means that as part of the application process you will be able to select your preference of which office location you would like to work from. The FCA also supports hybrid working which means you will be able to work from home up to 60% of the time over a month with the remainder of your time in one of our three office locations. Useful information: Applications for this role close on at midnight on Wednesday 15th March 2023 Got a question? If you are internal and interested learning more about the role, please contact Darren Chambers at Darren.Chambers@fca.org.uk If you are external and interested learning more about the role please contact Ifrah.Azam@fca.org.uk The interview process for this opportunity will involve a competency-based interview and technical case study. For additional guidance and support on the FCA’s interview process, please visit our careers site here. 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. Click here to learn more about the FCA
Show more details...
via JobLeads
posted_at: 1 day agoschedule_type: Full-time
To understand how the FCA collects and processes personal data please refer to the FCA privacy notice .
domain and its sub-domains. It does not apply to content on https://www.fca.org.uk/ or other domains.
This website is run by the Financial Conduct Authority. We are committed to inclusive design and ensuring that our web content is accessible to all.
For example, that means you should be able to:
• zoom in up to 300% without the text spilling
To understand how the FCA collects and processes personal data please refer to the FCA privacy notice .
domain and its sub-domains. It does not apply to content on https://www.fca.org.uk/ or other domains.
This website is run by the Financial Conduct Authority. We are committed to inclusive design and ensuring that our web content is accessible to all.
For example, that means you should be able to:
• zoom in up to 300% without the text spilling off the screen
• navigate most of the website using just a keyboard
• navigate most of the website using speech recognition software
• listen to most of the website using a screen reader (including the most recent versions of JAWS, NVDA and VoiceOver)
We’ve also ensured that the text is clear and easy to understand.
AbilityNet has advice on making your device easier to use if you have a disability.
How accessible this website is
We know some parts of this website are not fully accessible:
• Checkboxes are not accessible using standard... voice commands.
• Some radio buttons are not given group titles when tabbing to them using a screen reader.
• Edit combo fields with options lists can be difficult to navigate to with voice commands when the field is completed.
• The programmatic labelling of edit combo fields with options lists is not clear when using a screen reader.
Feedback and contact information
If you need information on this website in a different format contact us and tell us:
• the web address (URL) of the content
• your name and email address
• the format you need – for example large print, braille or audio
Reporting accessibility problems with this website
We’re always looking to improve the accessibility of this website. If you find any problems not listed on this page or think we’re not meeting accessibility requirements, contact us .
The Equality and Human Rights Commission (EHRC) is responsible for enforcing the Public Sector Bodies (Websites and Mobile Applications) (No. 2) Accessibility Regulations 2018 (the ‘accessibility regulations’). If you’re not happy with how we respond to your complaint, contact the Equality Advisory and Support Service (EASS) .
Technical information about this website’s accessibility
The Financial Conduct Authority is committed to making its website accessible, in accordance with the Public Sector Bodies (Websites and Mobile Applications) (No. 2) Accessibility Regulations 2018.
The content listed below is non-accessible for the following reasons.
Non-compliance with the accessibility regulations
• Checkboxes are not accessible using standard voice commands such as “Click checkbox” and can only be accessed by using “Tab” commands. This fails WCAG 2.1 success criterion 1.3.1 (Information & Relationships).
• Some radio buttons are not given group titles when tabbing to them using a screen reader. This fails WCAG 2.1 success criterion 1.3.1 (Information & Relationships).
• Edit combo fields with options lists can be difficult to navigate to with voice commands when the field is completed. This fails WCAG 2.1 success criterion 1.3.1 (Information & Relationships).
• The programmatic labelling of edit combo fields with options lists is not clear when using a screen reader. This fails WCAG 2.1 success criterion 1.3.1 (Information & Relationships).
What we’re doing to improve accessibility
We are actively engaging with our site developers and independent accessibility professionals to address the issues above and improve overall accessibility with the eventual goal of attaining full WCAG AA compliance.
Preparation of this Accessibility Statement
This statement was prepared on 22nd July 2021. It was last reviewed on 22nd July 2021.
This website was last tested on 02/02/2021. Testing was carried out by Blazie Engineering using the Website Accessibility Conformance Evaluation Methodology (WCAG-EM) approach to deciding on a sample of pages to test.
Lead Associate - Practising Legal page is loaded Lead Associate - Practising Legal
Apply locations London time type Full time posted on Posted Yesterday job requisition id JR0010141
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.
• Applying for civil orders to provide an appropriate degree of protection for consumers.
• 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.
What will the candidate get from the role?
• 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
We’re a signatory to the Government’s Disability Confident scheme. This means that we will offer an interview to disabled candidates entering under the scheme, should they meet the minimum criteria for a role. A minimum criterion needs to be measurable from reviewing a candidate’s CV. Exceptions may apply if due to the volume of applications we are not able to interview all eligible candidates who qualify under the scheme.
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 record in delivering results against business priorities.
• Works collaboratively as part of a team, valuing different perspectives and backgrounds, and working with other departments and divisions collaboratively, minimising silos.
• Ability to line manage, motivate, drive and coach less experienced members of the team.
Desirable
• Experience of complex and challenging investigations with another regulator or enforcement agency.
• Experience of deploying or handling the product of covert investigation techniques.
• Experience of evidence gathering and coordination with international partners.
• Experience in financial services investigations involving the FCA.
• Familiarity with the responsibilities of, and practices of, the FCA and Enforcement.
• Knowledge of the Financial Services and Markets Act 2000 and familiarity with the structures, practices and responsibilities of the FCA and Enforcement, including the process and procedures of the Regulatory Decisions Committee and Upper Tribunal.
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.
As an inclusive employer, we are open to considering flexible working arrangements. Please contact our recruiter if you wish to apply for this role on a flexible basis.
Useful Information
• This role is graded as Practising Legal Lead Associate (level 6).
• The salary range for this role is approximately £67,000 to £101,000 plus a competitive benefits package and non-contributory pension - for this role we expect to offer a successful candidate a salary within the range of £67,000 - £85,000, based on their skills and level of relevant experience .
• Applications for this role close on 21st March 2023.
If you are interested learning more about the role, please contact Michael Wood on Michael.Wood@fca.org.uk .
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.
Please note – Applications must be submitted through our online portal. Applications sent via email will not be accepted.
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locations London time type Full time posted on Posted 7 Days Ago About Us
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. Click here to learn more about the FCA Show more details...
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Lead Associate - Practising Legal page is loaded Lead Associate - Practising Legal
Apply locations London time type Full time posted on Posted Yesterday job requisition id JR0010141
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.
• Applying for civil orders to provide an appropriate degree of protection for consumers.
• 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.
What will the candidate get from the role?
• 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
We’re a signatory to the Government’s Disability Confident scheme. This means that we will offer an interview to disabled candidates entering under the scheme, should they meet the minimum criteria for a role. A minimum criterion needs to be measurable from reviewing a candidate’s CV. Exceptions may apply if due to the volume of applications we are not able to interview all eligible candidates who qualify under the scheme.
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 record in delivering results against business priorities.
• Works collaboratively as part of a team, valuing different perspectives and backgrounds, and working with other departments and divisions collaboratively, minimising silos.
• Ability to line manage, motivate, drive and coach less experienced members of the team.
Desirable
• Experience of complex and challenging investigations with another regulator or enforcement agency.
• Experience of deploying or handling the product of covert investigation techniques.
• Experience of evidence gathering and coordination with international partners.
• Experience in financial services investigations involving the FCA.
• Familiarity with the responsibilities of, and practices of, the FCA and Enforcement.
• Knowledge of the Financial Services and Markets Act 2000 and familiarity with the structures, practices and responsibilities of the FCA and Enforcement, including the process and procedures of the Regulatory Decisions Committee and Upper Tribunal.
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.
As an inclusive employer, we are open to considering flexible working arrangements. Please contact our recruiter if you wish to apply for this role on a flexible basis.
Useful Information
• This role is graded as Practising Legal Lead Associate (level 6).
• The salary range for this role is approximately £67,000 to £101,000 plus a competitive benefits package and non-contributory pension - for this role we expect to offer a successful candidate a salary within the range of £67,000 - £85,000, based on their skills and level of relevant experience .
• Applications for this role close on 21st March 2023.
If you are interested learning more about the role, please contact Michael Wood on Michael.Wood@fca.org.uk .
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.
Please note – Applications must be submitted through our online portal. Applications sent via email will not be accepted.
Similar Jobs (1)
Lead Associate Lawyer - Law and Policy-2
locations London time type Full time posted on Posted 7 Days Ago About Us
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. Click here to learn more about the FCA Show more details...
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