Paralegal, (Investigation Team) UBD 12 month FTC

FCA Perm
London (East)
From £22,750 to £28,000 per annum £22,750 to £28,000 Plus flexible be
12 Nov 2017
16 Nov 2017
Contract Type
Full Time
Paralegal, Investigation Team, Unauthorised Business Department, Enforcement and Market Oversight. 12 month FTC.

The salary range will be approximately 22,750 to 28,000 GBP plus a competitive benefits package and non-contributory pension.


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.

Enforcement conducts forensic investigations into suspected misconduct and, where appropriate, pursues and remedies misconduct by firms and individuals through criminal, civil and administrative sanctions and orders including:

  • Bringing criminal prosecutions and seeking penalties to deter misconduct.
  • Applying for civil orders to provide an appropriate degree of protection for consumers.
  • Requiring compensation to redress the consequences of misconduct, where appropriate.

UBD investigates firms which are not authorised by the FCA but which are carrying out activities that require authorisation. Unauthorised firms pose a significant risk to consumers UBD has civil and criminal powers to tackle these firms and protect consumers.

What does this job involve?

As a paralegal in one of its Investigation teams, you will be an active participant in carrying out investigations into unauthorised activity which have been assessed potentially meriting enforcement action through the courts.

The caseload in the team includes among other things complex collective investment schemes, multi-jurisdictional investigations and unregulated introducers within the pensions sector.

Working alongside a fully integrated team of investigators and lawyers that investigates and brings regulatory action and/or criminal proceedings, the paralegal will be primarily responsible for:

  • Reviewing and classifying material using digital management systems (EMS) in accordance with the requirements of the Criminal Prosecutions and Investigations Act 1996.
  • Assist with creating schedules of the unused material in preparation for trial, and take responsibility for the integrity of the schedules.
  • Assisting the project team in ensuring that all case files and records are accurately and efficiently maintained including document scheduling, archiving and retrieval and appropriate use of Enforcement's document management procedures.
  • Conducting timely and accurate complex document preparation including photocopying, collation, pagination, labelling and listing.
  • Assisting the project team with maintaining project management records and tasks and assisting in organising and preparations for interviews, RDC, Tribunal and Court.
  • Drafting straightforward documents, including correspondence, memos, reports and minutes.
  • Undertaking proof reading and review of documents.
  • Preparation of disclosure bundles.
  • Conducting legal/market and other research using relevant methods and systems e.g. law reports, Companies House, TARDIS, Bloomberg.
  • Assisting case teams with general administrative tasks relating to their investigations.
What will I get from the role?

Working in the Unauthorised Business Department, you will benefit from the opportunity to

  • Have a varied and interesting workload, dealing with people at all levels within the FCA, and outside.
  • Act as a key player in ensuring the integrity of our cases and the organisation of project team, ensuring that cases are investigated and ultimately presented in an efficient and fair manner.
  • Be part of a committed team utilising their legal and/or administrative skills in the context of interesting and high profile criminal, civil and regulatory cases.
  • Gain an understanding of the work of Enforcement and the FCA.
  • Participate in investigative and legal training for the role.
  • Develop paralegal administrative skills to a high standard.

As an Academy business we place great value on your learning and we offer world-class development opportunities which will assist you in achieving your career aspirations. Our Academy offers you a range of opportunities for personal and professional development, including our MSC in financial regulation, Advanced Managers programme, sponsored study and more.

Which minimum, essential & desirable skills are required?Minimum

We're a signatory to the Government's Disability Confident scheme. This means that we guarantee an interview to any disabled candidates entering under the scheme, should they meet the minimum criteria for a role.

  • Experience of document management within the context of litigation work from a regulatory background.
  • Experience of the following systems Word, Excel, Outlook and other similar packages.
  • Experience of proofing documents and drafting correspondence.
  • Highly developed organisational and administrative skills.
  • Excellent attention to detail.
  • Ability to organise information in a comprehensible manner.
  • Demonstrated ability to work on own initiative and to prioritise workload.
  • Good written and oral communication skills.
  • Ability to perform basic research and organise information in a comprehensible manner.
  • Team player.
  • Demonstrated ability to work under pressure and to tight deadlines, whilst maintaining accuracy.
  • The ability to quickly analyse and understand the detail, purpose and context of our document management procedures.
  • Excellent judgement and good communication skills so as to ensure any issues are raised in a comprehensible and concise manner.
  • Dynamic and forward thinking with excellent initiative to diagnose problems and propose solutions.
  • Ability to efficiently analyse very large volumes of material (digital and hard copy) and produce accurate and detailed summary descriptions.
  • Flexibility and willingness to take on new tasks and responsibilities and to adapt to change.
  • Proficient in devising, performing and recording detailed audit & reconciliation exercises.
  • Experience working with the FCA's Evidence Management System (EMS) (internal candidates only).
  • Legal qualification.
  • Some knowledge of the context of investigatory work.
  • Some knowledge of regulatory issues.
  • Some knowledge of criminal issues.
Additional Information

As an inclusive employer, we are open to considering flexible working arrangements. Please contact our recruiter if you wish to apply for this role on a flexible basis.

The job family for this role is L&F A and applications close on Thursday 23rd November 2017.

Selection process

Stage 1: On-line application, please submit your CV and answer to the following application question:

Why do you believe that you are suitable for this role? Please ensure that you specifically relate your answer to the criteria listed in the job advert, covering your relevant skills, technical knowledge and competencies. (Max 300 words)

Stage 2: Screening - your application will then be forwarded to the recruiting managers

Stage 3: Selection & assessment process (could be subject to change)

For internal applications, please contact Liberty Wakeman if you have any questions about the role.

For external applications, please contact Shazna Chowdhury if you have any questions about the role.

This role will be based in London, Canary Wharf, with a planned move in 2018 to a new site in The International Quarter, Stratford.

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