Senior Market Abuse Enquiries Investigator

Job title: Senior Market Abuse Enquiries Investigator

Division: Market Oversight

Department: Secondary Market Oversight

• Salary: National (Edinburgh and Leeds) ranging from 52400 to 68200 and London from 57700 to 75300 (salary offered will be based on skills and experience)

• This role is graded as: Senior Associate - Regulatory

• Your recruitment contact is Raimonda Stankute via . 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 youll play a key part in protecting consumers driving economic growth and shaping the future of UK finance services.

The Market Oversight Directorate oversees conduct in UK primary and secondary markets through the listing prospectus and market abuse regimes aiming to promote trusted orderly and efficient markets via its four departments: Listing Primary Market Oversight Secondary Market Oversight and Market Oversight Data & Intelligence.

The Secondary Market Oversight (SMO) Department addresses all aspects of market abuse in secondary markets to maintain clean and transparent markets. We do this by working with some of the richest datasets and intelligence in the world deploying state-of-the-art analytics and bringing together a diverse mix of experienced investigators regulators markets professionals and data scientists.

We have an exciting opportunity to join one of our Insider Dealing (ID) teams. The ID teams hold the primary responsibility of identifying and reviewing potential cases of equity insider dealing that do not fit the criteria of being perpetrated by organised criminal groups. As part of the FCAs enhanced focus on non-equity market abuse the remit and capabilities of these teams has expanded to incorporate allegations of market abuse in the Fixed Income markets.

Role responsibilities:

• Reviewing and assessing notifications and allegations of potential insider dealing from sources such as STORs whistleblowers and the marketabuse inbox enabling the team to protect market integrity

• Making informed timely and evidencebased recommendations on allegations including escalating the most serious cases to Enforcement to support swift proportionate and effective regulatory action

• Managing your own portfolio of complex casework with autonomy and discipline ensuring consistent progress and highquality outcomes across a diverse workload

• Applying financial markets expertise to support Enforcement investigations contributing valuable insight that strengthens case quality and improves the likelihood of successful outcomes

• Developing and delivering impactful nonEnforcement interventions helping to drive behavioural change and reduce the risk of future market abuse

• Contributing to thematic workstreams across the FCA sharing intelligence and collaborating with other teams

• Applying and sharing knowledge and expertise across the department helping colleagues build capability and contributing to a learningdriven highperformance culture

Skills required:

Minimum:

• Practical experience in UK equity markets gained in a financial services firm trading venue or financial services regulator

• Prior experience or understanding of the mechanics of corporate events and drivers of share price movements

• Experience in or an understanding of compliance and surveillance of equity products

Essential:

• Understanding of the UK Market Abuse Regulation (UK MAR)

• Strong analytical and communications skills

• The ability to make sound evidence-based judgements and recommendations alongside a flexible and adaptable approach

• Curiosity with an enthusiasm for learning and sharing knowledge

• Self-starter with proactive approach to acquiring skills and getting the job completed

Benefits:

• 25 days annual leave plus bank holidays

• Hybrid model where employees work a minimum of 40% in the office each month (expectation of50% for senior leaders). Changing from September toa minimum of 50% in the office each month (expectation of60% for Directors andExecutive Directors)

• Non-contributory pension (812% depending on age) and life assurance at eight times your salary

• Private healthcare with Bupa income protection and 24/7 Employee Assistance

• 35 hours of paid volunteering annually

• 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 thats 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

Were 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 cases of high application volumes we may progress applicants whose experience most closely matches the roles key requirements.

Useful Information and Timeline

Timeline:

• Advert Close: Sunday 1st February at 11:59pm

• CV Review/Shortlist: Wednesday 4th February

• First Interview & Case study: w/c 9th February

• 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.