Interventions Lawyer

Enforcement & Market Integrity (EMI) 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.

Sitting within EMI, the Retail and Regulatory Investigations (RRI) Directorate investigates firms and individuals across consumer markets to tackle misconduct, address financial crime, and ensure fair treatment that supports a safe and trusted financial services industry.

Within RRI, the Retail 4 Department brings together the Interventions, Threshold Conditions and Payment Services Regulator Enforcement teams to identify risks, take timely action, and ensure firms meet the regulatory standards required to operate responsibly within the financial sector.

• Progressing a portfolio of demanding intervention cases, progressing matters autonomously and to tight deadlines, identifying and managing key risks, and ensuring cases are driven forward effectively without close day-to-day oversight.
• Advising on evidential sufficiency, identifying key risks and making judgements and recommendations
• Clear, accurate drafting of all forms of interventions documents (including statutory notices, legal advice notes and Tribunal documents)
• Presenting to senior stakeholders with credibility, including at internal committee meetings and in meetings with external legal advisors
• Building and maintaining effective working relationships with colleagues in other areas at all levels within the FCA, regulated firms and their representatives and with external bodies
• Escalating to management key issues and trends arising on cases
• Contributing to training, knowledge sharing and being a point of escalation on technical matters

Enforcement, Finance, Investigator, Legal, Regulation, Risk, Stakeholder Engagement