Part-Time Regulatory Monitoring Specialist

Posted 5 days ago by Willow Resourcing
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A Part-Time Regulatory Monitoring Specialist (22 hours per week) is required by a leading Financial Services provider for a 12-month Fixed Term Contract.

You will be able to spread your hours over 3-5 days and split your time between working from home and the Group’s Head Office in Birmingham City Centre.

Performing risk-based regulatory monitoring reviews as Lead or as Support, in accordance with the Regulatory Monitoring Plan. Responsibilities include delivering, or supporting the Lead to deliver the following:

  • Scoping each review through researching the regulations relating to the specific risks or Business Area under review, gaining a good understanding of the Business Area and determining the approach to the review and what is in and out of scope.
  • Issuing and agreeing the Terms of Reference for the activity with Senior Management of the relevant Business Area.
  • Creating and delivering an output-based Test Plan with a key focus on determining if the customer outcomes are appropriate, and where they are not, identifying the root cause of the issues.
  • Conducting effective Quality Assurance throughout the review to ensure high quality outputs are achieved.
  • Effectively documenting review findings in the Regulatory Monitoring Review report with objective presentation of issues.
  • Agreeing appropriate actions jointly with senior management that properly address the key risks.
  • Validating actions and encouraging completion by the business in a timely manner, escalating where required.


  • Demonstrated Financial Services Regulatory experience preferably in a monitoring role.
  • Strong knowledge and understanding of the Regulatory framework of the UK financial services industry.
  • Able to work well under pressure, assess priorities in own workload, deliver high quality work and consistently meet set targets in a timely manner.
  • Self-motivated and able to work from own initiative; with the ability to work both as part of a team and on their own.
  • Able to exercise consistent judgement in the application of regulatory standards.
  • Excellent written and verbal communication skills and the ability to present information to Senior Managers and Executives.
  • Strong coaching skills to influence behaviours and help deliver change.
  • Good problem solving and analytical skills including Root Cause Analysis.
  • Excellent MS Office skills, particularly Word, Excel and PowerPoint

Required skills

  • Risk Management

Reference: 42428716

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