Enforcement Investigations Manager
Enforcement Investigations Manager
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Job Description
Job Title Enforcement Investigations Manager
Division - Enforcement and Market Oversight
Department Retail and Regulatory Investigation
Team Retail 1
Salary Leeds ranging from 72100 to 100000 (Salary offered will be based on skills and experience)
About the FCA
The FCA regulates the conduct of 45000 firms in the UK to ensure our financial markets are honest fair and competitive. Follow this link to find out more About the FCA.
Were recruiting an Enforcement Investigations Manager to join our Retail and Regulatory Investigations team in Leeds. This is an exciting opportunity for an experienced professional to help build a new team locally while working closely with colleagues in London on complex investigations that shape our regulatory approach.
The Retail and Regulatory Investigations Directorate focuses on how regulated firms and their management engage with consumers. Our cases span issues such as mis-selling anti-bribery and corruption fraud money laundering systems and controls failings and corporate governance failures across a wide range of financial markets including crypto pensions mortgages insurance banking and consumer credit.
As the Enforcement Investigations Manager youll lead a multi-disciplinary team develop talent and manage a challenging portfolio of cases in a matrix environment. Youll be accountable for the investigations your team runs which may include giving evidence in Tribunal or criminal proceedings.
What you will be doing
You will be responsible for a matrix operating investigation team; conducting investigations including evidence gathering and interviews managing settlements external discussions and attending court to give evidence as required.
You will also be working with other Managers Heads of Department (HoDs) EMO Directors and stakeholders (both internal and external). You will be supporting the HoD and being part of the departmental leadership team to further the strategic management of the Department and the Division.
As a manager based in Leeds it will be crucial to foster an inclusive culture and actively seek opportunities to engage with colleagues from the London and Edinburgh offices. Occasional travel to the London office will be required.
In addition you will take part in recruitment for EMO including identifying suitable candidates and conducting interviews. Some of the key responsibilities are set out below:
Project Sponsor or Project Manager for a portfolio of caseshaving day to day operational conduct of cases
Overseeing and managing the work of Lead Associates Senior Associates Associates and Investigation Case Support Officers and ensuring effective progression of projects and cases to reach timely outcomes escalating issues to the HoD where necessary
Be accountable for the investigations to senior colleagues and be able to explain strategy and decision making credibly
Responsible for managing a multidisciplinary team of around 8 to 12 investigators to ensure that the case teams portfolio of cases is progressed in an efficient effective and focussed manner
Managing relationships with senior external stakeholders including firms and their legal representatives other relevant law enforcement or government agencies and internal stakeholders including market oversight supervisory areas senior management and the press office
Line management responsibilities including being responsible for direct reports development and appraisals and ensuring optimal performance by managing any cases of poor performance or conduct in a timely manner
What will you get from the role
A chance to contribute to the strategic management and direction of EMO managing a challenging interesting and varied portfolio of work and working with colleagues from across the Division and other parts of the FCA
Satisfying worthwhile and responsible work with the opportunity to use your skills in complex situations engaging with internal and external stakeholders
Lead and motivate teams to deliver work to the highest standard
Working in a high-energy and stimulating Division within a supportive environment that continually seeks to develop members across EMO
The opportunity to develop others and positively contribute to the development of their career
The skills and experience you will have
We are a Disability Confident Employer; therefore disabled people or individuals with long-term conditions who best meet the minimum criteria for a role will go through to the next stage of the recruitment process. (To learn more about the Disability Confident Scheme Click Here)
Minimum
Direct experience of contentious litigation and/or leading on complex investigations
Proven people management/leadership experience with proven evidence of monitoring/reviewing performance and coaching and mentoring to support development
Direct experience of leading the work of others including delegating effectively responding to queries resolving issues and motivating others
Essential
Experienced project manager with strong portfolio management skills including planning quality control budgeting and forecasting costs and/or time associated with a project
Ability to perform under pressure managing competing priorities whilst delivering multiple outcomes to challenging deadlines
Strong communication skills and the ability to present well-reasoned arguments in a clear and concise manner
Ability to exercise own judgement and defend those judgements where necessary and appropriate
Excellent relationship management skills and the ability to command respect and credibility internally and externally including with firms senior management and their legal representatives
Ability to contribute to the strategy of the departmental management team and wider division
Ability to work collaboratively and inclusively as part of a team valuing different perspectives and backgrounds
Continuously seeking out new and more effective ways to conduct your work and feeding this back to management
Our Values & Diversity
We are proud to be an inclusive employer and our ambition is to cultivate a culture for all employees that respects their individual strengths views and experiences. 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.
Within the workplace you will have access to various employee resource groups which aim to promote and achieve a healthy work / life balance and support our diversity ambitions.
Did you know 50% of our Executive Committee were the first in their family to attend university.
Benefits of working at the FCA
28 days holiday per year plus bank holidays
Hybrid working (work from home up to 60% of your time)
Private healthcare with Bupa
A non-contributory Pension of at least 8% of basic salary each month (there are several contribution levels that increase depending on your age up to 12% a month once you reach age 35)
Life assurance of eight times your basic salary
Income protection
We also have a competitive flexible benefits scheme which gives you the opportunity to create a personalised benefits package tailored to suit your lifestyle.
We welcome applications from candidates who are looking for flexible arrangements. Many of our staff work flexibly including working part-time staggered hours and job shares. We cant promise to give you exactly what you want but we can explore what might work best for both sides.
Follow this link to see what life is like at the FCA - Life at the FCA
Application Support
We are dedicated to removing barriers and ensuring our application process is accessible to everyone. We offer a range of adjustments to make your application experience as comfortable and straightforward as possible.
If you have an accessibility need disability or condition requiring changes to the recruitment process please contact your recruiter using the details below and they will be happy to discuss this further with you.
Useful Information and Timeline
This role is graded as: Manager Regulatory or Practising Legal
Advert Closing Date: 14th October (advert will close at 23:59 on the 13th)
CV Review/Shortlist: Week commencing 20th October
1st Stage Competency Based Interview: Week commencing 27th October
Manager Assessment: Week commencing 3rd November
2nd Stage Interview: Week commencing 10th November
About our Leeds office: Opened in 2022 and growing rapidly our Leeds office is now home to over 300 staff and counting. Situated in a vibrant city known for its strengths in finance and tech innovation it hosts a significant part of our Data Technology & Innovation team. The office is just a five-minute walk from the train station and is surrounded by cafés restaurants and local amenities with convenient access to nearby car parks.
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.
Got a question
If you are interested in learning more about the role please contact Raimonda Stankute on
Applications must be submitted through our online portal. Applications sent via email will not be accepted.
Required Experience:
Manager
Employment Type
Full-Time
