Regulatory Compliance

Businesses big and small and across all industries have to adhere to specific rules and regulations. Where firms are regulated by an authority,  regulatory change is constant and following the rules and regulations critical.

FourthLine has been providing a range of regulatory compliance services for over 11 years, helping our clients stay compliant and manage regulatory change.

Our tailored approach allows our clients to identify vulnerabilities, design and embed mitigating actions, build organisational capability and maintain knowledge & awareness throughout their firms.

Contact us now to discuss your regulatory compliance requirements.

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Regulatory Compliance | Background

For financial institutions, it seems as though Regulatory changes are happening constantly. Dealing with the ever-increasing volume of new regulatory requirements adds a layer of complexity and requires resilient, adaptable and diligent operational management.

After the collapse of Lehman Brothers and the subsequent global economic crisis, it seems that we’re faced with a never-ending stream of new rules and regulations.

However, for better or for worse, regulatory pressures will continue to mount and it is essential for organisations to not only address the increasing compliance costs, but also develop a sustainable model in order to perform efficient regulatory change management.

Regulated firms will continue to face new and updated regulatory requirements that are not only complex and time-consuming, but can also cross over national borders, jurisdictions and in some instances, are conflicting. Businesses have also in recent years come under increased pressure to adhere to new global data protection and information security regulations.

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OUR CAPABILITIES

We have spent over eleven years supplying Regulatory Compliance professionals to our clients.  We have also delivered a large number of regulatory compliance workshops.

Our Regulatory Compliance Management capabilities include:

 ROLES WE COVER

  • Compliance Analyst
  • Compliance Manager
  • Director of Compliance
  • Head of Conduct Risk
  • Director of Conduct Risk
  • Financial Promotions Manager

 SECTORS WE COVER

  • Professional Services
  • Financial Services
  • Legal Practice
  • Retail Banking
  • Investment Banking
  • FinTech
  • Wealth and Asset Management
  • Retail

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Client Stories

Identity & Access Management vendor builds privacy function

FourthLine approached the client, an identity and access management vendor with offices around ...

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Insurer requires DPO with similar commercial background

Our client is a general insurance provider based in the South East. Their Data Protection ...

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Global fast food chain seeks Privacy Manager to meet the challenges of GDPR

Our client, a leading global fast food restaurant company headquartered in the US with a strong ...

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Latest Courses

Managing Financial Crime & Fraud in the ...

Insurance fraud is not a victimless crime and affects everyone in the UK. The UK Association of British Insurers estimates that fraud ...

2 Day Course

Financial Crime – Interpretations and the ...

The FCA has increased its efforts to fight every aspect of financial crime and expects firms to understand where the risks lie and take ...

Managing Operational Risk

The effective management of operational risks is a vital component of any financial services firm’s business strategy. Effective ...

2 Day Course

Insights

Webinar: Q&A on CASS Matters

Watch a recording of our webinar in which we interviewed leading ...

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CASS Trends Summary - Q4 2019

FourthLine have published the first of our new quarterly CASS Trends ...

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Learning Needs Analysis: Client Asset Compliance Practitioners

This white paper features the insights of 15 leading CASS ...

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We have successfully worked with FourthLine a number of times this year, and have been impressed not only by the quality of the candidates, but also how well briefed they are.

Head of Operations, Asset Management Firm

When we engage with a specialist consultancy like FourthLine... they take the time to understand what we do and what we are looking for.

CEO, Lending Standards Board

FourthLine have the personal touch and a greater understanding of the sector, the needs, the people, which means they can compete with the big recruiters.

Head of Compliance (Client)

FourthLine took the time to understand what I wanted and approached the company I was eventually placed with speculatively which is what candidates are looking for

Compliance Consultant, (Candidate)

Got a question?

If you’d like to find out more about our courses or discuss the ways in which FourthLine can help your business,
fill in the form below and one of our team will be in touch as soon as possible.

Alternatively, give us a call on 0203 800 1099

Get in touch

Kieran_Maplesden

Kieran Maplesden
Managing Director


020 3800 1099
kieran.maplesden@thefourthline.co.uk

gareth-foulkes

Gareth Foulkes
Senior Managing Consultant


0203 800 1548
gareth.foulkes@thefourthline.co.uk

Daniel_Waltham1

Daniel Waltham
Director | Talent Services


020 3800 1558
daniel.waltham@thefourthline.co.uk