At the FCA, we're creating a fair and more resilient financial system. We're establishing moretransparent relationships between financial services and their customers, building trust in financial markets and protecting vulnerable consumers.
The Wholesale department investigates suspected serious misconduct in the Wholesale markets. Our case portfolio is a mixture of criminal, civil and regulatory investigations and teams are likely to have a broad-ranging portfolio in respect of firms, their senior management and individuals. The range of misconduct we investigate includes insider dealing, market manipulation, misleading statements by issuers, breaches of the Listing Rules, failure to report transactions and other instances of wholesale misconduct. Where appropriate, we will pursue criminal prosecutions, civil proceedings, prohibitions, financial penalty and restitution orders. We work in collaboration with other parts of the FCA including Market Oversight and Supervision.
Main duties are :
• On-boarding new people and dealing with IT requests, being a superuser for records management databases and for analysis software packages (training will be provided)
• Providing diary management and administrative support for the Manager,team and the Department
• Arranging meetings, preparing papers for meetings including team meetings and Project Board meetings, taking minutes of meetings
• Organising travel and accommodation as required for the team
• Taking lead responsibility for records management across the team
• Responsibility for management of shared Outlook mailboxes
• Managing additional administrative tasks as required for the team, for example raising purchase orders, dealing with invoices, ensuring professional fees are paid on time, preparing presentations, slides and completing paperwork for expenses and external costs, helping the Manager keep track of spending against budget, creating bundles of documents & evidence for court hearings
• Working collaboratively with other business support members to ensure sufficient business support coverage across the department and/or division
• Transcribing interviews with subjects and witnesses
• Reinforce team compliance to FCA business policies, for example abiding by comms policies, business continuity processes and timesheet completion and ensure key messages are cascaded to the team
• Administration of pre- and post-search logistics
• Act as a main internal point of contact for the team
What will you get from this role?
• An opportunity to have a significant support role in a highly motivated team of staff, on a
key area of the FCA's regulatory and criminal remit
• Supporting the team whilst they undertake fast paced financial investigations, as part of a
case team of wider investigatory and specialist staff.
• An opportunity to make a significant contribution to fighting financial and other related
crimes and regulatory breaches.
• An opportunity to develop knowledge of the FCA and wider enforcement issues, and the role
within a Regulator.
• An opportunity to hone relationship management skills with both internal and external
stakeholders, at all levels of seniority and be an ambassador for the work and team.
• Participate in the forward-thinking agenda of the team in confiscation, money laundering
and civil recovery.
• Challenging and varied work in a friendly, collaborative and informal environment.
• Exposure to wider areas of the FCA, and our partners.
• Working within motivated and collegiate teams in enforcement, legal and intelligence areas.
Required Experience :
Excellent IT skills, including sound knowledge of Word, Excel, Outlook and other similar packages, and able to get up to speed quickly with new systems.
Excellent spelling, grammar and written language skills.
Required Technical & Behavioural Skills
• Good relationship management skills, both with internal and external stakeholders
Ability to work proactively on own initiative, prioritising, working under pressure and to tight deadlines whilst maintaining accuracy
• Flexible and willing to take on new tasks and responsibilities and to adapt to change
• Ability to work with a broad range of stakeholders and adapt style accordingly
Ability to transcribe from audio recordings
• Advocates the FCA, EMO and the FCA mission, operating for the benefit of consumers
• Act in an honest, open and transparent way, challenging when you see behaviour that goes against the principles of the FCA or EMO
• Continuously seek out new and more effective ways to conduct your work, and feed this back to management
• Works collaboratively as part of a team, valuing different perspectives and
backgrounds, and working with other departments and divisions collaboratively, minimising silos
• Open to learning, challenge and change, and be prepared to be flexible to new tasks and responsibilities