Enforcement Investigation Manager

Salary:

London - Ranging from £73,700 - £119,800 (regulatory)

London - Ranging from £79,800 - £129,600 (Practising Legal)

National - Ranging from £67,100 - £109,000 (Regulatory)

National - Ranging from £72,600 - £118,000 (Practising Legal)

The team/department

At the FCA, we’re creating a fair and more resilient financial system. We’re establishing more transparent relationships between financial services and their customers, building trust in financial markets and protecting vulnerable consumers.

The Retail and Regulatory Investigations directorate within EMO focuses on regulated firms and their management and how they engage with consumers. Cases cover a very wide range of issues including mis-selling, anti-bribery and corruption, fraud, money laundering, systems and controls failings, and corporate governance failures. We also cover a broad range of financial markets including cryptocurrencies, pensions, mortgages, general insurance, retail investment advice, retail and wholesale banking and consumer credit.

The Enforcement investigation team manager is a critical role within EMO. You will be expected to provide leadership to a multi-disciplinary team, to develop the talent within that team, delegate responsibly, and to set clear standards for what your team produce and how it is produced. You will be responsible for managing a challenging portfolio of cases in an environment which is dynamic.

You will be a role model and lead by example. You will also be expected to be an inclusive leader, to create and maintain a working environment which enables every team member to bring their whole self to work and to develop their potential. This is a role which requires high levels of motivation, self-management and emotional intelligence.

You will bring valuable experience to the role but equally important is the ability to learn new skills and to exercise good judgement as to when to seek support from others.

You will be accountable for the investigations that your team run, which may include giving evidence as a witness in the Tribunal or in criminal prosecutions in respect of the way an investigation has been conducted.

What you will be doing (the role)

You will be leading a team conducting investigations, including evidence gathering and interviews, leading settlement and 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. In addition, you will take part in recruitment for EMO, including identifying suitable candidates and conducting interviews.

• Project Sponsor or Project Manager for a portfolio of complex cases, having 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. Managing external case costs and budgeting for the lifecycle of a case

• Be accountable for the investigations to senior colleagues and be able to explain strategy and decision making credibly and support others doing the same

• Responsible for leading and managing a multidisciplinary team or around 8 to 12 investigators to ensure that the case team’s 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 you will get from the role?

• A chance to contribute to the strategic management and direction of EMO, leading 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

• Leading and motivating 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

Minimum criteria

We are a signatory to the Government’s Disability Confident scheme. This means that we will offer an interview to disabled candidates entering under the scheme, should they meet the minimum criteria for a role.

• Experience of contentious litigation and/or leading on complex investigations

• Previous people management/leadership experience, with proven evidence of monitoring/reviewing performance and coaching and mentoring to support development

• Experience of leading the work of others including delegating effectively, responding to queries, resolving issues and motivating others to achieve high standards through empowerment and trust

Essential criteria

• 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

The FCA is committed to achieving greater diversity across all levels of the organisations. Given this, we particularly welcome applications from women, disabled and minority ethnic candidates for our Manager role.

Flexible working

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 can’t promise to give you exactly what you want but we won’t judge you for asking.

Multi-location

As part of the FCA’s on-going commitment to develop our national presence, most of our vacancies are now open to working in our Edinburgh, Leeds, or London offices. This means that as part of the application process you will be able to select your preference of which office location you would like to work from.