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Document Review Associate - Financial Misconduct Investigations

Posted on Jul 17, 2021 by Brookwood

London, United Kingdom
Accountancy
Immediate Start
£300 - £300 Daily
Contract/Project


Document Review Associate - Financial Misconduct Investigations

Brookwood is seeking an experienced Document Review Associate with experience of Financial Misconduct Investigations experience, for a financial client.

This role is currently remote. The client base is in London, this will be a hybrid remote role once the office reopens.

The contract is 6 months initially, with a view for further extension.

The day rate is £300 Inside IR35

The Role:
RRI works to protect consumers from serious misconduct and make the UK a hostile environment for money laundering. Our investigations are often high profile and involve significant harm to consumers, for example through complex schemes designed to take away their life savings. Retail investigations could include anything from investigating a failed investment fund, to interviewing experienced senior managers of a retail bank and analysing their conduct, investigating MIS-selling of financial products, assessing firms' compliance with the Money Laundering Regulations or criminal offences associated with their regulatory business.

Key Responsibilities:

  • Carrying out detailed analysis of high volume and complex evidence and formulating findings.

  • Advising on the strategy, scope, and risks of an investigation, and organising the gathering of evidence

  • Ensuring effective progression of the project to reach timely outcomes, escalating issues where necessary

  • Preparing for, and presenting key findings and recommendations to senior management

  • Building and maintaining effective working relationships with colleagues in other business areas within the organisation and with external bodies

  • Drafting (or overseeing the drafting of) all forms of documents (including witness statements, the statutory notices, settlement papers, papers before the RDC and Project updates for the Project Boards) and correspondence with subjects, their legal representatives and witnesses

  • Contributing to the preparation for challenging interviews of subjects and witnesses using compulsory powers, on a voluntary basis and/or under caution.



Essential Criteria:

  • Experience conducting regulatory OR fraud OR financial crime investigations with exposure to different parts of the investigative life cycle.

  • Experience of analysing large amounts of information, drawing out key findings and producing formal written reports including making recommendations.

  • Experience of making oral and written presentations Ability to assess and analyse complex evidence to form a view as to what action is warranted, what further evidence may be required/available and how it can be obtained.

  • Ability to assist the investigation team in focusing the scope of an investigation and developing a case strategy, including identifying key risks and suggesting steps to mitigate those risks.

  • Ability to make timely decisions based on relevant analysis, exercising judgement on the evidence and being able to defend those judgements where appropriate.

  • Strong relationship management skills to build and maintain effective working relationships with colleagues in other business areas and with external bodies.

  • Ability to progress a varied multi-project caseload at pace and prioritise effectively.

  • Ability to work collaboratively as part of a team, valuing different perspectives and backgrounds, working with other departments and divisions, and minimising silos.

  • A strong commitment to diversity and inclusion.


Desirable Criteria:

  • Experience in financial services investigations

  • Knowledge of the Financial Services and Markets Act 2000 (if a lawyer) and be familiar with the structures, practices and responsibilities, including the process and procedures of the Regulatory Decisions Committee and Upper Tribunal



What will the candidate get from the role?

  • An opportunity to work within a division that is at the forefront of the work.

  • An opportunity to be an important and integral part of a team whose work has a high profile both internally and externally.

  • An opportunity to work on investigations of public importance investigating and tackling the most serious financial services matters.

  • An in-depth, cutting edge insight into regulated industries and the relevant regulations and legislation.

  • Satisfying, worthwhile and responsible work with the opportunity to use your skills in complex situations.

  • Engagement with senior management at the highest levels within the organisation and with the financial services industry.

  • A challenging, interesting, and varied portfolio of work, working with colleagues from across the division and other parts of the organisation.

  • A chance to contribute to the strategic management and direction of a division that is key to delivering the objectives.

  • An opportunity to work with colleagues across the organisation.

  • A chance to work within a supportive environment that continually seeks to develop our people.




Reference: 1257708299

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