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CASS Director

1736
£95000 - £120000

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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 Project Manager

FourthLine are working a Social Enterprise based in London who are looking for a GDPR Project Manager for 6 months.

Key responsibilities:

- Set up Governance framework (policies and procedures)

- Training and awareness across different business functions

- Mobilise GDPR plan with help from GDPR Champions.

If this role sounds of interest, please send your CV to raeesa.patel@thefourthline.co.uk

Data Protection Specialists

I’m working with a Financial Services firm who are looking to identify a Data Protection Specialist to join on a permanent basis. The role will involve monitoring the firms ongoing compliance with GDPR and other relevant Data Protection & Privacy regulations.

Responsibilities:

  • Assess the Firm and ensure it is compliant with Data Protection laws under GDPR.
  • Provide support across the business reviewing, updating and developing Policies and Procedures.
  • Advise on third party Data Sharing Agreements.
  • Monitor outcomes of Data Privacy Impact Assessments completed.
  • Complete Training and Guidance on all aspects of Data Protection & Privacy under GDPR.
  • Monitor any breaches of the DPA and ensure the appropriate remedial action is taken.

Essential:

  • Strong influencing ability and able to build and maintain strong relationships with senior stakeholders.
  • Excellent knowledge of Data Protection Law and in-depth knowledge of GDPR.
  • Understanding of UK and European/Global Data Privacy legal requirements.

Desired:

  • Experience of dealing with Data Protection & Privacy issues within a Financial Services firm.
  • Ability to speak French.
  • Willingness to Travel (approximately twice per month)

Location: London / Paris / Lisbon

Salary: 45,000 - 80,000 dependent on Level and Experience

Duration: Permanent

Consultant

Financial Crime Consultant - Central London

Senior Corporate Lawyer

Senior corporate lawyer london

Compliance Manager - London - Up to £60,000

Fourthline are representing our client, a Peer-to-Peer lender, based in London as they seek to grow their Compliance team. This varied role will touch on Compliance, Data Protection and Risk.

The role:

  • Embedding and maintaining the Compliance and Risk frameworks.
  • Reporting into the Head of Risk and Compliance and liaising with Senior Stakeholders and C-suite members.
  • Monitor and improve the Compliance and Risk Frameworks
  • Act as a Data Protection Officer for the business, reporting to the Head of Risk and Compliance.
  • Create, embed and enforce Regulatory Horizon Scanning frameworks for the business.
  • Conducting Thematic reviews and monitoring plans.

The candidate:

  • Have minimum 3+ years’ experience working in a regulated Financial Services business, ideally with credit or Retail Banking experience
  • Good knowledge of CASS 6 & 7 regulations.
  • CISI Diploma would be beneficial, must be educated to a degree level or equivalent.

If you have the relevant experience and would like to discuss the role in more detail, please apply through the website, or send an up-to-date CV to maria.koundouri@thefourthline.co.uk to arrange a time to speak.

Fund Oversight Manager

Fund Oversight Manager - Wealth Management

Our client a leading Wealth Manager are looking to hire a Fund Oversight Manager to support the team as they expand.

Type: Permanent
Role: Fund Oversight Manager
Salary: 65,000
Location: London

The ideal candidate will have a proactive attitude towards their duties with a confident demeanor whilst dealing with the ACD. Communication skills in this role will be key as it does involve stakeholder engagement at all levels of the business both internally and externally. This will require an understanding of how the business operates as to not disrupt the day to day flow of the business.

Role Requirements:

Five or more years experience within Wealth or Asset Management.

Very strong knowledge of COLL

Some exposure to CASS and COBS

Previous experience of report writing

Stakeholder engagement experience

CISI qualified or equivalent

If you would like to apply for this role, please send a copy of your most recent CV to Sam.Dawson@thefourthline.co.uk

CASS Oversight & Control Analyst

FourthLine are currently recruiting for a leading Financial Services Firm who are looking for a CASS Oversight & Control Analyst.

The role consists of:

  • Evaluate and ensure that all existing and new processes are CASS compliant
  • Coordinating CASS audits

  • Managing the oversight of third party CASS activities

  • Assist with various key control tasks to ensure a strong 1st line of defence is maintained within operations.
  • Maintain and Review the CASS RP

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

  • Knowledge of CASS.
  • Highly organised, confident, decisive and enthusiastic self-starter.
  • Investment Management background is desirable.

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

Risk Manager

Enterprise Risk Manager - Asset Management

An International Asset Management firm are looking to hire an experienced Enterprise Risk Manager to support the Global Business.

This a Permanent role.
Role: Enterprise Risk Manager
Salary: 85,000 - 90,000 + benefits.
Location: London

The ideal candidate will have six or more years within Financial Services working predominantly within Asset Management and having held a risk management title before. As the successful candidate will be dealing with several boards solid relationship and communication skills are essential. This position will involve being able to work proactively to tight deadlines.

The roles responsibilities will be managing the firms maintenance, design, development and management of the enterprise risk framework. Including on-going production and developing the companies ICAAP from data gathering and stakeholder meetings. The role will also involve thematic reviews and deep dives into the Combined Assurance Methodology. The candidate will also be responsible for showing the effectiveness of the firms ability to meet the standards of Combined Code and Annual Report on Internal Controls.

 

MINIMUM Salary

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