complianceRegulatory 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.

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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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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:


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


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

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Latest Courses

Financial Crime | Pre-recorded workshop– 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 ...

Practical Introduction to JMLSG Guidelines ...

Consisting of the UK’s leading Trade Associations from across the financial services industry, the Joint Money Laundering Steering Group ...


FCA Coronavirus additional guidance - Free Downloadable Toolkit

Following their first publications of Temporary Guidance for firms between March and ...

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Webinar: Q&A on CASS Matters

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

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One thing that really stood out was that FourthLine helped me prep for my second interview, where my answers could be stronger and other helpful advice.

Head of Compliance, (Candidate)

Gareth makes sure that he does his homework in advance of any interaction with employers, which makes the whole process more straight forward. I highly recommend him to other candidates!

Head of Operations, Asset Management Firm

We were so impressed with FourthLine that following the full day workshop we attended, we decided to utilise their Talent solutions to support building one of our teams.

Senior CASS Manager, Asset Management firm

The level of interaction on the course I attended was great, enabled by a really strong group and brilliant facilitator.

Head of CASS,

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Kieran Maplesden
Managing Director

020 3800 1099


Daniel Waltham
Director | Talent Services

020 3800 1558