Financial Crime Management

FourthLine has been providing regulatory compliance services for over 11 years, specifically Financial Crime compliance for small, medium and large firms across Asset Management, Wealth, Banking, Insurance, Professional Services and Investment Platforms.

We offer a full suite of solutions for your Financial Crime management requirements. These tailored approaches allow our clients to identify vulnerabilities, design and embed mitigating actions, build organisational capability and maintain knowledge & awareness throughout their firms.

Financial Crime Management | Background

Since the early 90s Financial Crime has increasingly become a concern for governments globally. It is today widely recognised that Financial Crime has become a substantial threat to the development and stability of macro-economic climates. The rapid increase in e-commerce and online transactions have fuelled these concerns further.

In the UK the FCA has increased its efforts to fight every aspect of financial crime and expects firms to understand where the risks lie and take appropriate steps to combat/react as part of its governance framework.

The role of the Money Laundering Reporting Officer (MLRO) is absolutely vital in ensuring that firms remain compliant with their anti-money laundering requirements and are alert and able to respond to the risks associated with anti-money laundering.  

MLROs and Heads of Financial Crime are under increasing pressure to retain, maintain and enhance their skills and knowledge, whilst managing risks according to a risk-based approach. This has been highlighted further by new personal accountability regulations and SMCR.

With the increased number of personal fines, it is imperative that businesses and Senior Managers stay updated with new regulations and implement the correct controls and functions to prevent a breach.

The ever-evolving, clandestine nature of financial crime, and increased capacity to obscure sources, as highlighted by the Government and financial crime professionals, lends itself to a new, evolving strategy — financial crime change management. It has never been more important for business leaders and senior financial crime professionals to set the tone and develop business-wide, self-improvement strategies on financial crime.

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We have spent over eleven years supplying Financial Crime professionals to our clients. None of our customers have received regulatory censure following one of our Financial Crime placements. We have also delivered a large number of Financial Crime and AML workshops more recently.

Our Financial Crime Management capabilities include:

Risk Assessment

  • Fraud Prevention
  • Sanctions
  • Financial Crime Compliance
  • Governance & MI
  • Know Your Customer
  • Enhanced Due Diligence
  • Technology Strategy
  • Monitoring & Reporting
  • Financial Crime Complaints 
  • Vendor Selection
  • Culture, Training, Awareness and Recruitment Product and services risk assessment
  • SMCR

Training & Awareness

  • AML & Financial Crime Awareness
  • The role of the MLRO
  • Sanctions Compliance MLRO Programme
  • Fraud Prevention
  • The role of the AML Officer
  • AML Compliance
  • Board effectiveness & Oversight

Financial Crime Audit

  • AML Procedures, Policies and Processes
  • Integrated Financial Crime Data
  • Systems & Controls
  • Validation Processes
  • Product Governance

Risk Rating Methodology

  • Risk Assessment Processes
  • Organisational Roles & Responsibilities
  • Identified triggers for EDD
  • Sample testing of monitoring
  • NCA reporting, consent SAR
  • Ongoing vigilance for managers
  • Knowledge of your business and products

Find out how we can help you to improve your CASS compliance

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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 ...


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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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)

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Kieran Maplesden
Managing Director

020 3800 1099


Daniel Waltham
Director | Talent Services

020 3800 1558