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CASS Oversight Associate

1910
£65000 - £65000

FourthLine are currently recruiting for a leading Financial Services Firm who are looking for a CASS Oversight Professional

The role consists of:

- Managing a team of two analysts.

- Manage the CASS RP.

- CASS touch point throughout the company.

In order to qualify for the role, my client is looking for candidates who have/are:

- Good CASS knowledge.

- Experience working within the sell side.

- Highly organised and ambitious individual that has the desire and drive to progress their career.

Based in Central London - Competitive Salary + Benefits. If you think you are suitable for the role and you're looking to further your career please apply by providing an updated CV.

Managing this Role

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Regulatory Auditor Insurance London - £65K

FourthLine is currently supporting a global reinsurance business in their search for a Regulatory Auditor to join their City based team.  The role is a replacement role which helps the organisation bridge the complex and dual challenge of both regulation and audit facing the business.

As Regulatory Auditor, you will be working in a small team of three alongside the Risk Manager and reporting to the Risk and Compliance Director.  The key function of the role is to offer Audit leadership with a sprinkling of regulatory advice to the business.  As Regulatory Auditor, you will take full responsibility for the annual audit plan; inputting information into the plan, risk based analysis to identify focus, plan which parts of the business you will audit and how often and then put together detailed and rigorous reports on areas of concern and then supply recommendations of how to overcome those concerns.  These reports will be scrutinised by the board who sign off on the recommendations and the Regulatory Auditor will then be responsible for carrying out all follow up actions.  Additional responsibilities include regulatory horizon scanning, some sanctions and some regulatory advisory work.

As Regulatory Auditor, you will have a solid background in Internal or External Audit with a recognised Accountancy, Audit or Insurance qualification.  Financial services experience is a must and experience or an understanding of underwriting and the insurance sector is desirable but not essential.  This is a role which requires you to build strong relationships up to CEO and so you should be approachable and pragmatic but be happy to stand firm on your recommendations.  Key to the role is rigorous analysis and the ability to write detailed reports and provide recommendations and you will be able to demonstrate expertise in both areas.  The role offers autonomy and is a high profile position in the firm and so will suit someone able to hit the ground running.

Please get in touch with Richard Ferguson on Richard.Ferguson@thefourthline.co.uk for further details on this interesting and unique opportunity.

GDPR Legal Consultant

FourthLine are working with an Advertising firm in London who are looking for a GDPR consultant to get them over the May 25th deadline day.

The role will focus on drafting and implementing policy and processes across business units, making sure 3rd parties have been vetted and new contracts have been sent out.

If you're interested, please email raeesa.patel@thefourthline.co.uk

Senior Documentation Specialist

Senior Documentation Specialist - London Based

FourthLine are currently resourcing for a Senior Regulatory Documentation Specialist who will be at the forefront of work regarding regulatory responses for policies, procedures and products.

This is not a standard Para-Legal or Documentation position; your work would be vital to business performance in what is a rapidly changing environment driven by mandatory regulatory requirements including but not limited to: MiFID II, GDPR and SMCR.

The Client is looking for someone who provide technical support whilst building and maintaining relationships with a variety of clients.

There is a strong salary involved with this position and plans for this role holder to develop their own team.

Requirements

  • Experience of working within the financial services industry
  • Relevant Legal qualifications and experience
  • Demonstrable drafting skills across a range of legal documentation with focus on policies and procedures for FCA regulated firms
  • Strong internal and external relationship/team building skills, including a positive attitude and a sense of humour
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The client is looking to interview within the next two weeks, so if this position looks of interest please contact Colm Conway for a confidential discussion:

Colm.Conway@thefourthline.co.uk - 020 3 800 1543

Compliance Monitoring Office

This a 6-month fixed-term contract role for a leading UK wealth management firm.

Role: Compliance Monitoring Analyst
Salary: 45,000 + benefits.
Location: London

The ideal candidate will have experience of compliance monitoring, ideally in a buy-side environment. This is a 2LOD role focusing on thematic reviews.

You will scope, investigate, collate and report to stakeholders on the outcomes of thematic reviews for the business, reporting directly to the head of monitoring. Planned reviews include; Conflicts of interest & TCF, but this may change subject to business need.

Good communications skills and stakeholder management are important for this role. You will liaise with different managers on the findings of reviews and agree any remedial action needed and provide assurance for the solution.

If you are open to discussing a potential new opportunity, please e-mail Sam.Dawson@thefourthline.co.uk with a convenient time to speak and your most recent CV, or call me directly on 0203 854 1409.

Interviews will be taking place as soon as possible, this is a 1-stage interview process and we are working directly with the head of monitoring, who will conduct the interview. The role is maternity cover and will likely extend to the end of the year and possibly beyond.

CASS Oversight Analyst

FourthLine are currently recruiting for a leading Investment Platform who are looking for a CASS Oversight Analyst.

The role consists of:

  • Oversight of the firms TPA.
  • Assist in the CASS Audit.
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In order to qualify for the role, my client is looking for candidates who have/are:

  • Knowledge of CASS.
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If you think you are suitable for the role and you’re looking to further your career please apply by providing an updated CV.

Compliance Consultant

Compliance Consultant - City of London - Competitive Salary


I am currently resourcing for a well-established Regulatory Consultancy based in the City.

This is a wide- ranging position with a firm that offers fantastic development and progression for Consultants who want to further their career within Compliance.

Role: Compliance Consultant

Location: Central London

Salary: 55k – 65k


Main responsibilities include:

  • Providing technical compliance advice on regulatory issues and industry change
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  • Reviewing existing policies and procedures to assess degree of compliance either as a standalone activity or within an overall due diligence matter
  • Supporting client programmes across the breadth of FCA requirements from authorisation
  • Previous exposure to areas of MiFID and AIFMD are essential.

For a confidential conversation around this position please contact Colum Conway on 020 3 800 1543 or respond to this email with an up to date copy of your CV.

Compliance Consultant -

Compliance Consultant - City of London - Competitive Salary


I am currently resourcing for a well-established Regulatory Consultancy based in the City.

This is a wide- ranging position with a firm that offers fantastic development and progression for Consultants who want to further their career within Compliance.

Role: Compliance Consultant

Location: Central London

Salary: 55k – 65k


Main responsibilities include:

  • Providing technical compliance advice on regulatory issues and industry change
  • Assisting with the internal policies and procedures to ensure their compliance with requirements
  • Reviewing existing policies and procedures to assess degree of compliance either as a standalone activity or within an overall due diligence matter
  • Supporting client programmes across the breadth of FCA requirements from authorisation
  • Previous exposure to areas of MiFID and AIFMD are essential.

For a confidential conversation around this position please contact Colum Conway on 020 3 800 1543 or respond to this email with an up to date copy of your CV.

Principal Consultant

Principal Consultant - City of London - Competitive Salary

Would like to work for an innovative global consultancy?

FourthLine are currently resourcing for a Senior Consultant who has strong buy-side Compliance exposure within industry or Consulting.

This is a prestigious Client who have a fantastic working culture and are now in search for dedicated Consultants through Company growth.

The position comes with a very competitive salary and benefits structure.

This is a Permanent hire, with the chosen candidate dealing with a variety of Wholesale Finance Clients on a daily basis.

Ideally, the client is looking for someone who has strong exposure around MiFID II and AIFMD.

Professional qualifications are desirable, most notably a CISI Diploma in Capital Markets.

If this position looks of interest please respond with an up to date copy of your CV to arrange a confidential conversation.

Data Protection Specialist

Fourthline are currently representing a global insurance firm in their search for a Data Protection Specialist to start ASAP.

This role is based in South West of London and will be working closely with the Group Data Privacy Officer to assist in the development, operation and maintenance of the Data Protection framework and compliance programme across the group.

This is an exciting opportunity for someone who is searching for their next hands-on data protection role, providing them with exposure and implementation on a global scale, advancing their privacy skills.

Key responsibilities:

  • Assist with embedding privacy framework
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  • Review and update privacy notices
  • Manage SAR process
  • Provide training around privacy and data protection to group

Desired:

  • Legal background (law degree or qualified lawyer)
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  • International experience

Essential:

  • 2+ years’ privacy and data protection experience
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  • Adaptable and commercially minded
  • Seeking long-term privacy gain
  • Keen to inspire and engage business functions on privacy
 

MINIMUM Salary

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