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Are you ready to chart your own career path? At SJP we need talented individuals like yourself to support our evolving culture. If you’re seeking an employer that is passionate about excellence, innovation and autonomy, SJP could be the place for you.
At a glance:
Location: United Kingdom - Flexible Hybrid Options from any of our UK offices
Workplace Type: Hybrid
Employment Type: Permanent
Seniority: Mid-Senior Level
The role:
The Investigator plays a critical role in upholding regulatory compliance and maintaining high standards of conduct within the financial services sector. Operating within the frameworks of the UK’s FCA, this role is responsible for conducting thorough and impartial investigations into conduct-related matters involving Appointed Representatives (ARs). The purpose is to ensure compliance with applicable laws and regulations, protect clients and safeguard the integrity of the business.
Who we're looking for:
We’re seeking a confident, analytical professional with a deep understanding of FCA and PRA regulatory standards and investigation experience. You will be self-motivated, resilient under pressure and committed to achieving good outcomes for clients.
What you'll be doing: Investigations into Appointed Representatives (ARs):
- Conduct detailed investigations into potential misconduct or regulatory breaches by ARs, ensuring alignment with FCA requirements.
- Identify, collect and analyse evidence, including reviewing documentation and conducting interviews with relevant parties.
- Identify root causes of misconduct and assess its impact on clients, stakeholders and the organisation’s compliance obligations.
Reporting and Recommendations:
- Prepare comprehensive reports summarising investigation findings, including recommendations for remediation and preventative measures to mitigate future risks.
- Deliver disciplinary outcomes where appropriate and ensure alignment with regulatory expectations.
Regulatory Compliance:
- Stay updated on FCA and PRA regulations to ensure investigations are conducted in accordance with the highest standards of compliance and best practice.
- Collaborate with internal and external stakeholders, including regulatory bodies, to address and resolve compliance issues effectively.
Thematic Reviews and Lessons Learned:
- Conduct themed reviews driven by common investigation findings and root causes, identifying patterns and systemic issues.
- Facilitate lessons learned exercises with relevant teams to promote continuous improvement in compliance practices.
Escalations and Client Focus:
- Escalate cases of client detriment or significant regulatory breaches to senior management or Partner Claims teams as appropriate.
- Work proactively to ensure good outcomes for clients in line with Consumer Duty principles.
Policy and Procedure Development:
- Contribute to the enhancement of investigation policies and procedures, ensuring they reflect regulatory expectations and best practices.
- Serve as a subject matter expert (SME) on compliance investigations, providing guidance and training to colleagues.
Essential Criteria
- Practical experience in conducting regulatory or conduct investigations/reviews, file checks.
- Strong working knowledge of FCA/PRA regulations relevant to ARs and familiarity with the SJP Compliance Procedures and Information Manual.
- High attention to detail, curious and inquisitive nature and the ability to manage multiple cases concurrently.
Desirable Criteria
- CII Level 4 Regulated Financial Planning (or equivalent).
- Experience in law enforcement or legal practice with an investigative focus.
Special Requirements:
- Ability to travel to SJP and Partnership Locations across the UK
What's in it for you?
We reward you for the work you do, whether that’s through our discretionary annual bonus scheme that reflects both personal and company performance, competitive annual leave allowance (28 days plus bank holidays, with the option to purchase an additional 5 days), or online rewards platform with a variety of discounts.
We also have benefits to support whatever stage of life you are in, including:
- Competitive parental leave (26 weeks full pay)
- Private medical insurance (optional taxable benefit)
- 10% non-contributory pension (increasing with length of service)
Reasonable Adjustments We're an equal opportunities employer and want to ensure our recruitment process is accessible and inclusive for all, if you require reasonable adjustment(s) at any stage please let us know by emailing us at
[email protected]Research tells us that applicants (especially those from underrepresented groups) can be put off from applying for a role if they do not meet all the criteria or have been on an extended career-break. If you think you would be a good match for this role and can demonstrate some transferable experience please apply, regardless of whether you tick every box.
What's next?
If you're excited about this role and believe you have the skills and experience we're looking for, we'd love to hear from you! Please submit an application by clicking ‘apply’ below and our team will be in touch.
As a business regulated by the FCA we would advise you to familiarise yourself with the conduct regulations and in particular consumer duty obligations prior to an interview with SJP.
