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Assisting a firm in gaining better hiring requirements understanding

Mid-Tier Investment Bank - Specialism in Capital Markets

The Challenge

A Mid-tier Investment Bank who specialises in capital markets was unaware of their businesses exposure to CASS Rules. They found themselves in need of a CASS Audit specialist resource due to lack of internal capacity for the regulation. After working with several generic recruiters, they engaged FourthLine as a specialist provider.


FourthLine was engaged on an exclusive basis to provide an Interim Management Solution and a meeting was arranged with the Hiring Manager to further gain understanding of their requirements. Our ‘built of knowledge’ approach means that we proactively research into the impacts of key regulatory changes on our focused industry areas, this allowed us to advise the client and better their understanding on the wide-spread effect of CASS rules.


  • Through our initial comprehensive questioning, we identified and gained a clear understanding of the job specification, enabling us to search for the best candidates, eliminating risks to time and costs.
  • Our service operates on a basis which places all delivery risk on us, there is no upfront cost commitment as fees are only generated if we make a successful placement. Therefore we guarantee a thorough qualification of our clients’ needs and transparency throughout.
  • We utilised our Core Competency Framework (CCF) tool which has been developed through research and analyse into our focus disciplines via in-depth interviews and surveys with industry experts to identify skills and behaviours expected from the top 20% of CASS experienced talent. These include; extensive compliance framework design and implementation experience, varied blend of financial services experience including industry & consulting and curiosity & inquisition.


We shortlisted 3 peer-assessed candidates for the position and presented them via conference call, further detailing their soft skills along with their experience and expertise.

These were interviewed and within a 2 week period, the client made a hire for the role. We were able to move quickly through the post-interview negotiation stage due to our comprehensive qualification and use of our CCF tool.

On competition of our Assignment Quality Report, the firm stated they have now gained full awareness of CASS rules, with a CASS committee fully embedded into their business operations.

“We are extremely pleased with the work our new hire is completing and would definitely use FourthLine again.” Operations Director

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