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Regulatory Monitoring Reviewer

  • Location

    Leeds

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £35,000 - £40,000 + Excellent benefits

  • Consultant:

    #

  • Email:

    psherlock@merje.com

  • Job ref:

    PS/14971

  • Published:

    2 months ago

Our client is a leading financial services company who are currently looking to recruit a Regulatory Monitoring Reviewer who will conduct regulatory monitoring 2nd line activities, whilst contributing to the continuous improvement and development of the Business. The role holder will apply experience of applicable FCA requirements, monitoring methodology and the financial services industry to undertake testing, determine and agree findings with business owners, negotiate remedial actions and draft reports. 

Key responsibilities include:

  • Formally scoping reviews with collaboration from the 1st line
  • Participating in close down meetings with the business to inform them of the findings and agree actions to resolve findings
  • Assistance with documenting findings and actions in a draft and final report
  • Documentation of findings from testing
  • Evaluating outputs with relevant business members
  • Reporting breaches in line with breach reporting policy
  • Tracking all actions through to resolution and undertaking and/or overseeing sample testing to ensure they are completed to the required standard
  • Contribute to maintaining and updating the Group Regulatory Monitoring plan
  • Assist with preparing reports and management information for the CRO, governance committees and business
  • Assist with compilation of trend analyses to provide early awareness of systemic issues

Qualifications/Key Skills:

  • Working knowledge of the FCA Handbook and 2nd line monitoring experience.
  • Experience of conducting and presenting research
  • Experience of conducting interviews and meetings with business representatives
  • Experience of compliance monitoring or assurance work
  • Experience of report writing

Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.