Associate, Lawyer (LLR)

FCA Perm
London (East)
10 Mar 2018
14 Mar 2018
Contract Type
Full Time
Associate, Lawyer (LLR), Legal, Enforcement and Market Oversight

The salary range will be approximately 36,000 to 60,000 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.

We are looking to recruit a UK qualified lawyer to join the Litigation and Legal Review team (LLR) in Enforcement's Legal Department.

The lawyers in LLR provide specialist legal advice and assistance which includes conducting legal reviews of cases before they are put to the relevant FCA decision makers, advising on Authorisation and Early Intervention matters, advising and presenting on cases to the RTC and RDC and handling litigation before the Upper Tribunal and the courts on regulatory (retail and wholesale) and unauthorised business cases.

What does this job involve?

The Litigation & Legal Review team consists of lawyers with contentious experience who provide legal analysis and advice on case team investigations and deal with associated litigation. You will, depending on your level of skill and experience:

  • Review potential enforcement cases before a recommendation for action is made to the RDC or other FCA decision maker.
  • Analyse issues of evidential sufficiency, public interest, policy and proportionality before the FCA takes action for breaches of FCA rules or market abuse.
  • Draft statements of case, witness statements, and regulatory notices and prepare papers for the RTC, RDC, Upper Tribunal and Courts.
  • Conduct litigation, including instructing external counsel and/or advocacy and oral presentations to the RDC, Upper Tribunal and Courts.
  • Advise on the use of Financial Services and Markets Act 2000 (FSMA) or other powers in investigations.
  • Build and maintain effective working relationships with stakeholders, such as colleagues in case teams and other business units, the RDC and with external law firms.
  • Contribute to the development and implementation of the FCA's Enforcement policy, procedures and guidance, and sharing of knowhow and expertise across Enforcement.
What will I get from the role?

Working in the Legal team, you will benefit from the opportunity to:

  • Work on interesting and often high-profile cases which will make a real difference to industry behaviour, assisting the FCA in protecting consumers, protecting and enhancing the integrity of the UK financial system and promoting effective competition.
  • Tackle a challenging, interesting and varied portfolio of work, working with colleagues from across the division and in other parts of the FCA and making a difference.
  • Develop and enhance your litigation and legal skills and knowledge of contentious regulatory practices through exposure to novel problems and excellent training.
  • Work in a dynamic and friendly professional environment of highly skilled and motivated individuals.
  • Gain an in-depth, cutting edge insight into regulated industries and relevant regulations.

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, 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.

  • A qualified lawyer with a valid practising certificate issued by the Solicitors Regulation Authority for England and Wales (if a solicitor), or the General Council of the Bar for England and Wales (if a barrister). We would generally expect you to have a minimum of 3 years' relevant PQE/post-pupillage experience.
  • Proven experience of conducting civil/commercial litigation and/or of contentious financial services or other regulatory investigations or proceedings.
  • Ability to apply sound, principled legal and evidential analysis to complex situations.
  • Ability to communicate clearly and effectively, orally and in writing, with a range of different audiences.
  • Willingness to exercise own judgement and defend those judgements where necessary and appropriate.
  • Strong relationship management skills to build and maintain effective working relationships with colleagues in other business units and with external bodies.
  • Ability to demonstrate impact and credibility with senior staff and professionals, both internally and externally.
  • Robust, self-motivated and a good team player with the flexibility to adapt to different roles within a team, as the needs of the case dictates.
  • Ability to work well under pressure and to deadlines.
  • Demonstration of strong intellectual ability.
  • Sound knowledge of the Financial Services and Markets Act and the structure, practices and responsibilities of the FCA and Enforcement.
  • Knowledge/experience of RDC and Upper Tribunal procedures and civil litigation.
  • Knowledge of core regulatory requirements applicable to regulated activities.
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 C and applications close on 20th March 2018.

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 [recruiter] on [email] 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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