About the division:
The FCA’s Enforcement function (part of the Enforcement and Market Oversight Division) is responsible for conducting investigations into suspected misconduct and, where appropriate, pursues and remedies misconduct by firms and individuals through criminal, civil and administrative sanctions and orders.
About the role:
The role is in the Retail and Regulatory Investigations department.
Retail and Regulatory Investigations focuses on regulated firms and their management and how they engage with consumers. Investigations cover a very wide range of issues including mis-selling, anti-bribery and corruption, money laundering, systems and controls failings and corporate governance failures. We also cover a broad range of financial markets including pensions, mortgages, general insurance, retail investment advice, retail and wholesale banking and consumer credit.
What does this job involve?
You will be working as part of an investigation team supporting the effective delivery of Enforcement cases and projects.
The key responsibilities of a Trainee Accountant will include:
- Research into applicable standards and guidance including regulatory standards, accounting standards and industry best practice
- Assisting with extracting and analysing evidence, including financial information, financial statements, bank statements and other financial data
- Assisting in interviews of witnesses and subjects of investigations, internal decision making committees, proceedings before the Regulatory Decisions Committee, the Upper Tribunal and the civil and criminal courts
- Assisting with the preparation of disclosure bundles
- Reviewing evidence, documenting analysis and initial classification of documents for relevance and disclosure purposes
- Conducting general administrative tasks relating to investigations and case preparation, including drafting correspondence and minutes
- Assisting with the calculation of penalties