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Business Assesor

1748
£30000 - £38000

I'm working with one of the UK's largest Chartered Financial Planning firms. The firm are looking to appoint an individual who will form an integral part of the growing compliance team in a Business Assesor role.

The role will report directly to the Head of Group Compliance and will entail dealing directly with advisers in the firm's network. Pension and investment work will be investigated at both pre and post trade formats.

Candidates will need to be Level 4 diploma qualified and have recent experience of working within an adviser practice or wealth management firm.

Below are the key areas of knowledge and experience:

  • Pre and post investment trades
  • Occupational Pensions
  • DB Pension Transfers
  • Occupational Pensions Transfers
  • Personal pensions
  • Occupational Pension switches
  • NISAs
  • Excellent communication skills, both written and verbal are essential requirements of the role.

A fundamental understanding of the Financial Conduct Authority’s Conduct of Business rules and principles of business would be desirable.

If you would like to discuss the role in further detail please contact me via [email protected] or 0203 800 1565.


This job has now been filled but you may be interested in:

 

Data Protection Manager

£70000 - £100000 per annum

This is a brand new role for a data protection professional to join a leading law firm as the manager that governs data for the global business.

The Data Protection Manager will be part of the in-house operations that drive forward the firms data management policies, procedures and standards. They would be looking for this professional to lead on their strategic direction alongside the directors of the firm.

Day to day of the role..

  • Advise all areas of the business on their data protection strategy to ensure everyone understands the direction of the business along the lines of their firm wide risk appetite.
  • Develop and maintain data protection standards that ensures the confidentiality of company and client data.
  • Report on these standards to ensure firmwide compliance with the regulations.
  • Educate colleagues across the business on the importance of good working practice in relation to data protection.
  • Develop an action plan in the event of a data breach and train colleagues on how to react to if an actual breach takes place.
  • Work alongside the privacy champions so they understand their responsibilities as the department leads.

Your experience..

  • Strong experience as a data protection lead or has been second in command ready to take that next step in their career.
  • Strong knowledge and working practices of data protection practices, approaches and toolkits in a working environment.
  • Someone that is proactive to learn more about the regulation so you can keep the firm up to scratch with changes to data privacy laws and policies.
  • Prior experience advising on best practice and providing recommendations.
  • Project or change management experience is desirable.
  • Experience raising awareness and training members of staff in line with the regulation.
  • Strong experience drafting data protection policies, technology provisions and outsourcing agreements.
  • Someone that has a global mindset and feels confident working across multiple jurisdictions.

Please do send across your CV if this role has tempted your interest and I will give you a call if you have the desired experience!

#LI-JTM1

Privacy Manager

£65000 - £85000 per annum

This is an in-house opportunity to be the Privacy Manager at a law firm that represents a wide range of entities across the globe. You'll have the opportunity to work alongside the partners and present to the directors when new projects are launched for the firm.

The day to day role..

  • Collaborate with colleagues across the business to ensure ongoing, company-wide compliance with the GDPR and data privacy.
  • Create and deliver innovative training tailored to different areas of the business.
  • Conduct and implement Data Privacy Impact Assessments.
  • Review, negotiate, advise and draft data protection agreements and contracts.
  • Manage records related to data protection and data subject requests.
  • Manage data incidents and breaches in coordination with the firms key players.


Your experience..

  • Someone legally qualified OR experience within a legal compliance team.
  • An expert to lead the firms data privacy and GDPR strategy.
  • The ability to work collaboratively with colleagues across the business at all levels across UK and international offices.
  • Strong project management, interpersonal and organisational skills.
  • A global mindset to data privacy.
  • Someone that is confident in their ability to work autonomously and voice suggestions that will develop a better firm wide data privacy strategy.


Apply with your updated CV to find out more about this role and we can arrange a call to see whether this is the right opportunity for you.

#LI-JTM1

Compliance Analyst - CRD - Market Abuse - Best Ex


I'm working with an Investment Management firm who are looking to bring in a Compliance Analyst on a 3-month contract (with scope for extension), to start immediately, working around Market Abuse and Best Execution (essential)

The Role;
The job holder will be responsible for conducting monitoring activities in alignment with the Compliance Monitoring Programme, including testing and escalating matters to Senior Compliance Monitoring Managers.

Key Responsibilities;

  • Carry out and deliver core work of the CMP on a monthly basis in line with the plan
  • Assisting on ad-hoc Compliance Monitoring tasks
  • Logging and ensuring appropriate follow-up actions are taken on all errors and breaches
  • Assisting with the coding of client investment restrictions to the Charles River system, communicating with fund managers and Investment teams
  • Liasion with business teams to seek remedial actions for identified deficiencies
  • Providing consultancy support and technical expertise to the business on BAU and project related risk and control issues
  • Provide MI to senior management



Key Skills Required;

  • Experience in Charles River and Bloomberg
  • Proven experience in a Front Office monitoring environment, covering Market Abuse and Best Execution



If you qualify for the above description, and are interested in the role, please apply within.

#LI-AP1

Data Protection Advisor

£55000 - £75000 per annum

A global retailer are building out their data privacy team from their central London office. The group are looking for a subject matter expert to focus on the advisory side of their data privacy compliance programme.


If you are a data privacy professional with a real interest in the fashion industry then this opportunity could be ideal for you!


Please apply to find out more if you....

  • Have strong experience as a Data Protection advisor!
  • Can create and implement Data Privacy Impact Assessments.
  • Are technically sound at processing privacy by design and default.
  • Have prior experience working in-house for a consumer facing, fast paced business or with retail clients as a consultant for data protection matters.
  • Are able to apply data privacy requirements to a consumer-facing, global organisation that needs advice in line with commercial priorities.
  • Can proactively monitor compliance in line with privacy risks that may approach a commercial business.
  • Have been part of a GDPR readiness programme.


It would be a real advantage if you had experience as a project manager and IAPP or ISEB data protection qualifications.


Benefits

  • Company performance related bonus.
  • Discount from company brands and other retailers.
  • Enrolment onto company pension plan.
  • Optional core hours to be flexible with your lifestyle.
  • Option to buy extra holidays!


Please do send across your CV if this role has tempted your interest and I will give you a call if you have the desired experience!

#LI-JTM1

Data Protection Manager

£45000 - £65000 per annum

A global retailer are building out their data privacy team from their central London office. The group are looking for a subject matter expert to focus on the responsive side of their data privacy compliance programme.


If you are a data privacy professional with a real interest in the fashion industry then this opportunity could be ideal for you!


Please apply to find out more if you....

  • Have strong experience completing privacy risk assessments.
  • Prior experience working in-house for a consumer facing, fast paced business or with retail clients as a consultant for data protection matters.
  • Have been part of a GDPR readiness programme.
  • Can build relationships and influence senior stakeholders across group functions with a global mindset.
  • Are able to apply data privacy requirements to a consumer-facing, global organisation that needs advice in line with commercial priorities.
  • Can create and deliver comprehensive privacy training.


It would be a real advantage if you had experience as a project manager and IAPP or ISEB data protection qualifications.


Benefits

  • Company performance related bonus.
  • Discount from company brands and other retailers.
  • Enrolment onto company pension plan.
  • Optional core hours to be flexible with your lifestyle.
  • Option to buy extra holidays!


Please do send across your CV if this role has tempted your interest and I will give you a call if you have the desired experience!

#LI-JTM1

Compliance Monitoring Manager

Compliance Monitoring Manager - Asset Management - Perm


An Asset Management company in the Centre of London are looking to Bring in a Compliance Monitoring Manager to run this side of Compliance.


This is a Permanent role
Role: Compliance Monitoring Manager
Salary: £60,000 - £70,000
Location: London


This role will be reporting directly to the Head of Compliance you will gain valuable experience by working very closely with key stakeholders throughout the business. The main responsibilities of the role will be running the annual compliance monitoring plan and ensuring that trades keep in line with Market Abuse Regulations (MAR).


The company itself has a strong compliance culture and the department works with the business in a cohesive manner. With this they are looking for someone that is collaborative in nature and will share with colleagues whilst being open and transparent. As this is a smaller business, they are looking for someone that will integrate into the culture well and can be adaptable at times.

Key Requirements

  • Experience updating a Compliance Monitoring Plan (CMP)
  • Experience dealing with a wide variety of stakeholders effectively.
  • Financial crime experience around AML would be beneficial.
  • Knowledge of MAR.
  • Conducting risk-based monitoring reviews, both routine and thematic.
  • Other areas of Compliance experience would be valued as there will be ad hoc projects that you will be asked to assist with.

PMO Manager - London - Permanent

£70000 - £80000 per annum


FourthLine are currently recruiting for an PMO Manager to join our internationally renowned client based in London. The successful candidate will be hired on a permanent basis, salary dependent on experience.



Joining the team as an PMO Manager, you will operate within an enterprise PMO, championing the functions standards and best practice, as-well as providing assurance. Some of the main responsibilities of the role are the following:

  • Management, monitoring and improvement of the PMO's day-to-day processes.
  • Responsible for the allocation of tasks to a small PMO team.
  • Performing regular project reviews, as-well as performing assurance for the entire portfolio.
  • General PMO responsibilities - RAID Management, Resource Management, Financial Management, Reporting.



Suitable Candidates for the PMO Manager role may have the following backgrounds or have experience in the following areas:

  • Experience operating as a PMO Manager previously.
  • One or numerous professional's qualifications related to project and/or programme management.
  • A minimum of 3-4 years' experience of working in a project space.
  • A competent understanding of project management techniques, as-well as solid commercial and analytical skills.
  • Experience of improving process standards and governance.



If this position appeals to you and you feel you meet the above criteria, then please get in touch with Daniel Bright via email with your CV to arrange a time to talk in more detail at .



Please also feel free to pass on to your network if you know someone who may be open to discussing confidentially.

Process Risk & Controls Manager


Process Risk & Controls Manager - Fixed Term Contract 9 Months
An Asset Management company in London are looking to recruit a Compliance Advisory Officer to join the growing department.
This is a Fixed Term Contract
Role: Process Risk & Controls Manager
Salary: £70,000 - £80,000
Location: London

The role will be reporting directly to the Group Head of Risk and work with all key stakeholders across the business. The successful candidate will join the Risk team for the business designing and producing risk registers. These registers will help the business capture key material risks associated with every step of the investment process. This function will ensure that the business evaluates upcoming regulatory risks and ensures that the business complies with new FCA regulations.

Key to this role will be your excellent communication skills and ability to influence at senior management level as well as possessing the business acumen and understanding the full risk and controls landscape across all areas of the business. There is a scope for this role becoming a permanent position after the 9 months has been completed.

Key Requirements

  • Someone with an Asset Management / Investments background ideal, but open to Life, wider Banking experience.
  • The ability to scope out and lead the project autonomously.
  • Background in ERM / Op Risk and Controls with experience of designing or supporting to design effective risk registers and control frameworks.
  • Excellent stakeholder management and influencing skills, ability to have strong conversations.
  • Some knowledge of CASS would be ideal, but not essential.
  • Open to traveling between Bristol and London.
  • If possible, some financial risk experience, or experience working with actuaries in relation to operational risk capital requirements.

#LI-ZD1

Regulatory Reporting Senior Analyst

 
FourthLine are currently recruiting for a Regulatory Reporting Senior Analyst based in London.
The role consists of:
  • On-site support of clients.
  • Liaise with clients to determine their regulatory reporting software needs.

In order to qualify for the role, my client is looking for candidates who have/are:
  • 2 years Regulatory Reporting experience.
  • Interest in working in a client facing role.


If you think you are suitable for the role and you're looking to further your career please apply by providing an updated CV.

#LI-JC1

Legal Counsel, Data Protection

£60000 - £70000 per annum Bonus scheme

An international law firm is looking for a Legal Counsel to join their Risk and Compliance team in central London.

This is an exciting opportunity for a qualified lawyer with data protection experience who is searching for an internal role to work alongside other legal counsels across the firm and to support fee earners across the business on legal and data protection matters.

What the client is seeking …
* Someone with 2 years PQE that has experience advising on Data Protection and Information Security.
* An individual that has experience dealing with commercial contracts.
* The ability to work collaboratively and influence across the business.
* A background in either commercial or corporate law.
* Ability to deal with complaints and breaches.


Day in the life of the chosen professional …
* Provide legal advice on Privacy and Data Protection matters across the firm.
* Work collaboratively with other legal counsels across the firm, transferring information to and from the team and London office.
* Communicate and work closely with senior stakeholders.
* Manage data incidents and breaches in coordination with the firms key players.

If you would like to know more about the role, please apply with your updated CV and we can arrange a call if you have the right experience.

Otherwise, if you know of anyone in your professional network that is looking for a new privacy role you can put us in contact.

Head Of Compliance


We are looking for a Compliance Head based in London who has following experience

  • Handle CF10 and CF11 Role
  • Understand Client Money and Client Custody
  • Understand Broking, Investment Advisory, Investment Management business
  • Understand Financial Accounts and correlate compliance rules with financial information
  • Implement new compliance requirements
  • Upgrading Compliance Manual
  • Liaising with FCA
  • Providing training to staff members
  • Submitting FCA reports
  • Understand Gabriel, COREP and Connect System



The company, a global wealth and investment management firm are looking for a self motivated and passionate individual who can oversee their compliance function as a whole. This is a great opportunity for someone looking to undertake a management position with the scope to build the compliance department from scratch.

CASS & Finance Analyst

 
 
FourthLine are currently recruiting for a boutique P2P Lending company who are looking for a CASS & Finance Analyst based in London.
The role consists of:
  • Daily Reconciliations.
  • Involved in the annual CASS Audit.
  • General finance duties.

In order to qualify for the role, my client is looking for candidates who have/are:
  • Finance experience.
  • CASS experience beneficial.
  • A keen eye for detail.


If you think you are suitable for the role and you're looking to further your career please apply by providing an updated CV.

#LI-JC1

 

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