1. Lead and conduct thorough investigations into potential misconduct or regulatory breaches by ARs in line with FCA expectations.
2. Gather and analyse evidence, including interviews and documentation, to identify root causes and assess impacts on clients and compliance obligations.
3. Prepare comprehensive investigation reports and deliver well-reasoned recommendations for remediation, disciplinary action, or preventative measures.
4. Conduct thematic reviews to identify emerging risks or trends, and facilitate lessons learned activities to strengthen compliance frameworks.
5. Collaborate with senior management, regulatory bodies and internal stakeholders to resolve issues and ensure good outcomes for clients in line with Consumer Duty.
6. Act as a subject matter expert (SME), supporting the enhancement of investigation policies and providing guidance and training to colleagues.
Who we’re looking for:
We’re looking for an experienced investigator with a strong understanding of regulatory requirements and conduct standards.. You’ll have a keen eye for detail, integrity in your approach, and the confidence to handle sensitive matters objectively and professionally. The ideal candidate will be skilled at influencing senior stakeholders, managing complex investigations independently, and driving continuous improvement in compliance and culture.
Skills & Experience:
Essential
7. Proven experience conducting investigations within a regulated environment, ideally involving AR-related conduct matters.
8. Understanding of FCA and PRA regulations, including competence and fit & proper requirements.
9. Exceptional analytical and report-writing skills, with the ability to assess complex issues and provide clear, evidence-based recommendations.
10. Excellent interpersonal and communication skills, with the confidence to present findings to senior stakeholders and regulators.
11. Ability to manage multiple investigations concurrently, exercising sound judgement and discretion.
Desirable
12. Experience in corporate investigations, financial crime, or forensic accounting.
13. Knowledge of conducting investigations under legal privilege
What's in it for you?
We reward youfor the work you do, whether that’s through our discretionary annual bonus scheme that reflects both personal and company performance, competitive annual leave allowance (28 days plus bank holidays, with the option to purchase an additional 5 days), or online rewards platform with a variety of discounts.
We also have benefits to support whatever stage of life you are in, including:
14. Competitive parental leave (26 weeks full pay)
15. Private medical insurance (optional taxable benefit)
16. 10% non-contributory pension (increasing with length of service)
Reasonable Adjustments
We're an equal opportunities employer and want to ensure our recruitment process is accessible and inclusive for all, if you require reasonable adjustment(s) at any stage please let us know by emailing us at
Research tells us that applicants (especially those from underrepresented groups) can be put off from applying for a role if they do not meet all the criteria or have been on an extended career-break. If you think you would be a good match for this role and can demonstrate some transferable experience please apply, regardless of whether you tick every box.