Case Studies

FinTech start-up makes a Compliance hire

A London based FinTech start-up was hiring a compliance leader; FourthLine’s ‘Critical Talent’ service was the product of choice.

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Asset Manager lacks knowledge of legal market for Fund Lawyer hire

Our client was a specialist asset manager based in London.

Topics: Legal, Investment Management, Flexible

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Interim CASS & Prudential Reporting Analyst swiftly identified

The client was an online trading platform based in London that specialises in retail products and offers a broad range of investment products. We were contacted by the client’s Finance Director and ...

Topics: Client Assets (CASS), Investment Management, Banking, Flexible

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Interim remediation assignment

Following an FCA fine due to CASS findings, our client engaged FourthLine in need of an expert hire for an interim remediation assignment along with multiple permanent CASS professionals.

Topics: Client Assets (CASS), Investment Management, Flexible

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Boutique wealth manager seeks CASS and SMCR compliance

Fourthline were approached by the client, a boutique wealth manager based in London.

Topics: Client Assets (CASS), Risk Management, Investment Management, Flexible

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Sourcing buy side niche expertise

Our client are a leading global asset management firm based in London. They specialise in equities and fixed income and have £600bn AUM. We were approached following the failure of traditional PSL ...

Topics: Investment Management, Flexible

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Specialist skills to support regulatory change

Our client engaged FourthLine after undertaking a regulatory change programme and identifying a need for specialist skills to support that business priority.

Topics: Risk Management, Investment Management, Banking, Flexible

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Sourcing MiFID II capabilities

In the run up to MiFID II the bank had no project team or clear idea of their main touchpoints for January 3 compliance. The designated project sponsor wanted a clear roadmap of how they would be ...

Topics: Risk Management, Banking, Flexible

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