Interventions Lawyer

We regulate financial services firms in the UK, to keep financial markets fair, thriving and effective. By joining us, you’ll play a key part in protecting consumers, driving economic growth, and shaping the future of UK finance services.   

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.

Timeline:  

• Job advert closing: 8th November at 11:59pm

• CV Review/Shortlist: 10th November

• Interviews commencing: 19th, 20th, 23rd, and 24th November

• Your Recruiter will discuss the process in detail with you during screening for the role, therefore, please make them aware if you are going to be unavailable for any date during this time.   

• →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

• Qualified solicitor or barrister with a valid practising certificate (or equivalent internationally recognised legal qualification)
• Significant post-qualification experience in contentious financial services regulation, regulatory investigations or proceedings, financial markets, serious fraud, complex financial crime investigations, or complex litigation and disputes
• Proven experience managing a diverse and challenging caseload, effectively balancing personal responsibilities with the delegation and oversight of work undertaken by junior colleagues

Our colleagues are the key to our success as a regulator. We are committed to fostering a diverse and inclusive culture: one that’s free from discrimination and bias, celebrates difference, and supports colleagues to deliver at their best. We believe that our differences and similarities enable us to be a better organisation – one that makes better decisions, drives innovation, and delivers better regulation. 

If you require any adjustments due to a disability or condition, your recruiter is here to help - reach out for tailored support. 

We welcome diverse working styles and aim to find flexible solutions that suit both the role and individual needs, including options like part-time and job sharing where applicable.