Enforcement Investigator
Division: Enforcement and Market Oversight
Department: Retail & Regulatory Investigations
1. Salary: Leeds - £45,000 - £60,000 (Salary to be offered based on skills and experience
2. Job Grade: Associate L8 - Regulatory
3. Your recruitment contact is Riley via k. Applications must be submitted through our online portal. Applications sent via social media or email will not be accepted.
About the FCA and team
We regulate financial services firms in the UK, to keep financial markets fair, thriving and effective. By joining us, you’ll play a key part in protecting consumers, driving economic growth, and shaping the future of UK finance services.
Enforcement & Market Oversight (EMO) is responsible for the FCA’s responsibilities for market monitoring, delivery of the functions of the UK Listing Authority (UKLA) and the investigation and prosecution of misconduct using the whole spectrum of criminal, civil and administrative sanctions and remedies against firms and individuals.
Sitting within the Enforcement & Market Oversight Division, the Retail and Regulatory Investigations (RRI) Directorate investigates firms and individuals across consumer markets to tackle misconduct, address financial crime, and ensure fair treatment that supports a safe and trusted financial services industry.
Role responsibilities
4. Progress a varied portfolio of investigations, managing your workload effectively to balance competing deadlines
5. Analyse detailed evidence and present your findings in a clear and suitable format
6. Draft a wide range of case documents, including witness statements, civil orders, statutory notices and papers for the Regulatory Decision Committee, as well as correspondence with subjects, their legal representatives and witnesses
7. Take part in challenging interviews with subjects and witnesses, whether conducted under compulsory powers, voluntarily, or under caution
8. You will prepare for and present cases at internal case committees when required, ensuring that complex issues are communicated clearly and that committee members have the insight needed to make informed decisions
9. Legally qualified candidates will also provide legal advice to the case team and, where appropriate, take responsibility for preparing privileged correspondence
Skills required
Minimum:
10. Prior experience of analysing large amounts of information and producing summaries which make conclusions and draw out key findings
11. For Lawyer applicants you must hold 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)
Essential:
12. Support and progress investigations or projects involving large volumes of information
13. Build and maintain solid and effective relationships with colleagues and with key contacts
14. Work collaboratively and inclusively with colleagues from different perspectives and backgrounds across a portfolio of projects and workstreams
15. Communicate clearly, with experience of making oral and written presentations
Benefits
16. 25 days annual leave plus bank holidays
17. Hybrid model where employees work a minimum of 40% in the office each month (expectation of 50% for senior leaders). Changing from September to a minimum of 50% in the office each month (expectation of 60% for Directors and Executive Directors)
18. Non-contributory pension (8–12% depending on age) and life assurance at eight times your salary
19. Private healthcare with Bupa, income protection, and 24/7 Employee Assistance
20. 35 hours of paid volunteering annually
21. A flexible benefits scheme designed around your lifestyle
For a full list of our benefits, and our recruitment process as a whole visit our benefits page.
Our values & culture
Our colleagues are the key to our success as a regulator. We are committed to fostering a diverse and inclusive culture: one that’s free from discrimination and bias, celebrates difference, and supports colleagues to deliver at their best. We believe that our differences and similarities enable us to be a better organisation – one that makes better decisions, drives innovation, and delivers better regulation.
If you require any adjustments due to a disability or condition, your recruiter is here to help - reach out for tailored support.
We welcome diverse working styles and aim to find flexible solutions that suit both the role and individual needs, including options like part-time and job sharing where applicable.
Disability Confident: our hiring approach
We’re proud to be a Disability Confident Employer, and therefore, people or individuals with disabilities and long-term conditions who best meet the minimum criteria for a role will go through to the next stage of the recruitment process. In cases of high application volumes, we may progress applicants whose experience most closely matches the role’s key requirements.
Useful information and timeline
22. Advert Closing: 12th April at 11:59PM
23. CV Review/Shortlist: 14th April
24. In‑person interviews will take place at the Leeds office on: 29th April and 30th April
25. Your Recruiter will discuss the process in detail with you during screening for the role, therefore, please make them aware if you are going to be unavailable for any date during this time.