London: +44 (0) 20 3119 3300  |  Birmingham: +44 (0) 20 3119 3399 (8:30am - 6pm UK office hours)

Investigation and Enforcement

The Investigation and Enforcement functions key aim is to safeguard the public interest.


The investigative process in a regulatory environment is founded upon conducting evidence-based investigations and being able to articulate findings in the context of breaches to legislation, or required rules and regulations. Knowledge and understanding of legal frameworks impacting on civil cases (Tribunal rules governing practice and procedure; civil procedure rules) and criminal investigations (PACE, RIPA & DPA) are essential.


The Enforcement process in a regulatory environment is to change industry behaviour through credible deterrence, and work to protect consumers.   This involves a wide range of activities from licensing to mis-selling and control failings.

  • Financial Crime Investigator
  • Investigation Officer
  • Complaints Handler
  • Online Investigator
  • Enforcement Officer
  • Counter Fraud Officer
  • Case Officer
  • Regulatory Officer
  • Regulation Assistant

Last edited: 15th June 2020