Job title: Market Abuse Case Officer
Division: Enforcement and Market Oversight
Department: Secondary Market Oversight
1. Salary: National (Edinburgh and Leeds) ranging from £43,100 to £57,433 and London from £47,300 to £63,033 (salary offered will be based on skills and experience)
2. This role is graded as: Associate – Level 8 - Regulatory
3. Your recruitment contact is Cameron Nunn via k
4. 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.
We have a vacancy for an associate within the Equity Manipulation Team (EMT) in the Secondary Market Oversight (SMO) Department. SMO leads the FCA's work to detect, investigate and prevent market abuse and EMT specialises in pursuing both criminal and civil cases of market manipulation, primarily involving equities and equity-related products.
The EMT team has a vital role in helping the FCA achieve its objectives in ensuring the integrity of markets and protecting those who use them.
Role responsibilities
5. Conduct trade surveillance activities by reviewing alerts, STORs, and indicators of potential market manipulation to detect and prevent suspicious trading behaviours, helping safeguard market integrity and investor confidence
6. Enhance surveillance systems by collaborating with developers and in-house tech teams to align tools with evolving market abuse risks, improving detection capabilities and staying ahead of emerging threats to protect the financial ecosystem
7. Conduct in-depth investigations into potential manipulation through detailed analysis of trading patterns, liaising with market participants, and making escalation recommendations to uncover complex schemes and ensure compliance with regulatory standards, ensuring transparency and fairness in financial markets
8. Provide specialised knowledge of financial markets and support evidence gathering for triage and enforcement investigations to enhance enforcement actions with robust, data-driven insights, guiding high-stakes decisions that uphold market stability and trust
Skills required
Minimum:
9. Demonstrable professional experience of market abuse monitoring, surveillance, and investigations within financial services with a regulator or professional exposure to financial markets, in particular, equities markets and equity derivatives
10. Prior experience of using big data tools such as Microsoft Excel and other internal big data applications
11. Extensive experience in using trade surveillance systems
Essential:
12. Knowledge of the market abuse legislative framework
13. Critical thinking and judgement, with ability to make logical and consistent decisions based on the information available to you
14. An appreciation of the value of teamwork with an ability to engage effectively and constructively with colleagues
15. Ability to communicate complex trading analysis and concepts to a variety of audiences
16. Readiness to adjust and drive: being responsible with the ability to act on your own initiative and deliver high-quality outcomes
Benefits
17. 25 days annual leave plus bank holidays
18. Hybrid model with up to 60% remote work
19. Non-contributory pension (8–12% depending on age) and life assurance at eight times your salary
20. Private healthcare with Bupa, income protection, and 24/7 Employee Assistance
21. 35 hours of paid volunteering annually
22. 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 and 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 timelines
Timeline:
23. Job Advert Close: Sunday 25th January at 23:59
24. CV Review/Shortlist: Tuesday 27th January
25. First Interview: w/c 2nd February
26. 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.