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Compliance Officer

I am currently working with a leading international Retail Bank and Capital Markets firm who is looking to recruit a Compliance Officer to communicate the organisations compliance-related issues to employees across all divisions of the company. This role is provisionally a 6 months contract based In London and has the possibility to develop into a long-term opportunity. £300-400-day rate.Key Responsibilities:-Designing and Implementing thematic reviews to ensure compliance.-Liaising closely with a different number of Senior stakeholders, providing advice and support.-Produce and Develop Management Information to overcome compliance enquiries.-Training new and existing staff on Compliance Frameworks.This candidate must have retail banking experience and previous experience of regulatory reporting and must be immediately available. Although not essential SMCR or IAR experience is preferred.

Senior Compliance Training/Consultant

FourthLine are currently working with a well-established Consultancy, who are looking to bring in a Senior Compliance Training Consultant on an initial 3 month contract.Summary: I am looking to speak with a Trainer/Consultant who hold experience in the design and delivery of compliance training (i.e. fin-promotions, AML, AiFMD, MiFID, compliance monitoring) for a number of training projects. You will provide tailored in-house compliance training to the business and work closely with Snr Management in the creation of training material and case studies. The In-House training will be delivered to all levels of staff, from Analysts to Senior Managers.Key Responsibilities:Design presentations & training material for a range of regulatory compliance subjects and deliver to an audience of compliance experts at varying seniority levelsDeliver training to include a range of methods (exams, case studies, interactive tools etc.)Plan training courses alongside HR team as well as Snr Compliance ManagersKey Requirements: Extensive working knowledge around Regulatory Compliance across FSProven experience in delivering trainingAbility to influence, motivate and engage with othersExperience of working in a collaborative manner, maintaining independence, integrity and confidentialityExcellent communication skillsGood IT SkillsQualifications: Qualifications in training techniques and processes

Compliance Consultant Support

A leading Financial Services Consultancy based in London are looking to bring in a Compliance Consultant to come in for 3 WEEK contract, to provide support and conduct a GAP analysis. The firm are looking for someone from a General Insurance background to provide support on an urgent piece of work.Essential;Proven experience in tackling Regulatory Change and challengesProven experience in Reviews and GAP AnalysisThis is a short term piece of work, paying a rate 350pd - 450pd DoEIf you fit the criteria, and are available to start in October, please get in touch on the details below.

Senior Compliance Monitoring Officer

  • £85000 - £90000 per annum DoE
A well-known Investment Management firm based in MANCHESTER are looking to recruit a Senior Compliance Monitoring Officer to take leading role in the Compliance Monitoring Department.This is a Temp-to-Perm role, with an initial 3 month contract leading to a Permanent position.Role: Senior Compliance Monitoring OfficerSalary: Competitive Day Rate, with a view to £85k SalaryLocation: ManchesterThis role would suit someone from an Investment Management background with strong experience in Compliance Monitoring.The firm are currently going through expansion, establishing a team with a strong compliance ethos. You'll be working closely with Heads of functions across the business in taking a leading role within Compliance Monitoring, with strong career progression available.Key Responsibilities:Reviewing and updating the Compliance Monitoring policies and procedures.Ensuring that all compliance monitoring is following to all regulations.Reporting to the board and highlighting all high-risk areas.Maintain awareness of global regulatory developments with regards to all business activities.If this role is of interest, please get in touch with an updated CV. Please note this is a Manchester based role, if you know someone who may be suitable and relevant, feel free to share my details with them.

Financial Planning Compliance Manager

  • £400 - £500 per day
ROLE: Financial Planning Compliance ManagerSECTOR: Wealth ManagementRATE: Market RateLOCATION: LondonKey ResponsibilitiesAct as first point of contact for the financial planning business acting, promoting compliance awareness and good practice in compliance and T&C throughout Financial Planning.Provide advice and assistance as requested, providing compliant, pragmatic solutionsAssist the financial planning business to manage regulatory risk, including risk identification, assessment, mitigation and controlProduce accurate and timely monthly reports regarding activity and issuesHelp implement group projects, working closely with different departments to ensure compliance with operating and compliance proceduresAttend and support relevant financial planning management meetingsWork with team members to ensure all issues identified through monitoring, complaints and changes to regulations are appropriately addressed, providing or assisting in delivery of training as necessaryIn conjunction with other team members, work with the central Sales, Strategy & Operations team on all financial planning standards, fact finds, suitability reports etc.Support the Compliance monitoring team and your colleagues, including the wider Risk & Compliance teamKeep a watching brief on T&C from a SYSC 6 oversight perspectiveFrom a risk management perspective as an adviser within Tilney you are responsible for:Identifying any risks to the firm with regard to areas of responsibility and recording these on the risk system in conjunction with the Risk Champion for business area.Ensuring that any risks are effectively evaluated, managed and mitigated.Ensuring that risk controls are designed to be effective and that any control breakdowns are reported to the business areas Risk Champion.Skills And QualificationsExcellent written and verbal communication skills including the ability to influence at all levels with good judgement and decision making skills; the ability to work with a good degree of autonomy, individually, and as part of a team; ability to deliver training and presentations; strong analytical and numerical skillsCompetent using Microsoft packages such as Word, Excel and Outlook; excellent knowledge of FCA Rules in particular SYSC & COBS with ability to understand new regulation as it arises; strong experience in a compliance role within an asset/wealth managerQualifications: Degree holder preferable; CII level 4 qualified, CISI Compliance Diploma

Senior Finance Assistant

Senior Finance Assistant - South West England - Up to 300pd FourthLine are working with a leading Investment business based in the South West. This firm are looking to enhance their CASS oversight capabilities as the business goes through a period of change. The role will consist of maintaining current internal client money reconciliations, oversight and reporting in tandem to the role out of new CASS processes for major project. Key Responsibilities: Client Money and Custody Asset exception management and clearing of unresolved breaks Further support the automation of reconciliation and reporting processes BAU ICMR Ad hoc requests directed by management If you are immediately available with a strong project background in CASS 6,7, reconciliations, and CMAR please get in touch.

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Managing this Role: Joshua Johnson

CASS Assistant Manager

CASS Assistant Manager - South West England - Market Rates FourthLine are working with a leading Investment business based in the South West. This firm are looking to enhance their CASS oversight capabilities as the business goes through a period of change. The role will consist of maintaining current internal client money reconciliations, oversight and reporting in tandem to the role out of new CASS processes for major project. Key Responsibilities: Support permanent assistant managers with day to day team management Support the oversight of Client Money and Custody Assets, including ICMR and exception management Definition and/or refinement of Management Information and reporting If you are immediately available with a strong project background in CASS 6,7, reconciliations, and CMAR please get in touch.

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Managing this Role: Joshua Johnson

Interim Head of Compliance

FourthLine are currently working with a Consumer Credit company who are looking to add an Interim Head of Compliance to the business. This person will be responsible for taking the lead role in the building of a new team as the company launch new products and continue in their growth path. The role: Lead and develop the Compliance team Oversight and responsibility of all regulatory requirements with a focus on CONC Amend and re-design all Compliance related policies and procedures Design and implement Compliance frameworks Carry out GAP analysis and develop operating model all within the compliance function Provide updates and engage regularly with Senior Stakeholders Represent the firm in all engagements with clients Experience required: A background in Consumer Credit is essential Experience at Head of level previously Excellent knowledge of the FCA handbook and understanding of the CONC guidelines Exceptional written and verbal communication skills as you will regularly be engaging with stakeholders and clients Please apply for more details.

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Managing this Role: Joshua Johnson

CASS Assistant Manager

CASS Assistant Manager Contract - 4 Months initially South West UK Market rate Fourthline is working with a leading Investments business based in the South West of the UK. The client is looking to bring in 4 new contractors to support the CASS oversight functions as they go through a period of change. The roles will be key to maintaining current internal client money reconciliations, oversight and reporting in tandem to the role out of new CASS processes for major project. If you are immediately available with a strong project background in CASS 6,7, reconciliations, and CMAR please get in touch. Interviews to take place 30th/31st August so get in touch soon for more information.

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Managing this Role: Gareth Foulkes

Senior Finance Assistant

CONTRACT - Initially 4 months Senior Finance Assistant South West Up to 300pd Fourthline is working with a leading Investments business based in the South West of the UK. The client is looking to bring in 4 new contractors to support the CASS oversight functions as they go through a period of change. The roles will be key to maintaining current internal client money reconciliations, oversight and reporting in tandem to the role out of new CASS processes for major project. If you are immediately available with a strong project background in CASS 6,7, reconciliations, and CMAR please get in touch. Interviews to take place 30th/31st August so get in touch soon for more information.

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Managing this Role: Gareth Foulkes
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