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Compliance Analyst - Retail Financial Services - up to £40,000

1714
£30000 - £40000

FourthLine are currently representing our Retail Financial Services client recruit for a Compliance Analyst in their busy team. Based in North London, this client has a great reputation for valuing and developing their staff.

Key responsibilities of the role would include:

  • Conducting compliance monitoring and thematic reviews
  • Review of policies and procedures
  • Review and sign off marketing materials
  • Providing advice to various business units
  • Interpretation of regulatory change and impact on the business in conjunction with the Compliance Manager and Head of Compliance

Suitable candidates for the role will have the following experience:

  • Minimum 1-2 years’ experience within a financial services business, ideally in a compliance, quality assurance, risk, internal audit or complaints role
  • Comfortable writing reports and using an evidence based approach
  • Knowledge of FCA regulation, ideally within the retail financial services sector
  • Hands on approach and an interest in developing transferable skills

The role offers a fantastic opportunity for somebody to build upon their existing regulatory skillset in a fast paced environment, with the opportunity to diversify their compliance portfolio and gain unprecedented exposure to senior executives in a business.

Managing this Role

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Jodie Sable

Managing Consultant - Retail Conduct 0203 800 1566

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

 

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.

Associate Legal Counsel

£60000 - £70000

permanent mid asscoiate in the team, reports into the legal dircetor, 8/9 in the team salsry 70k

Legal Director

Contract - apply for details

Fourthline are working with a client in South West London who are looking for a Legal Director on a contract basis for a 6 month period. This would suit a qualified solicitor with around 10 years PQE.

The day-to-day duties and responsibilities are detailed below:

  • Risk management for contractual, marketing and intellectual property matters.
  • Day to day negotiation and management of a complete range of commercial agreements including IT contracts, IP licences, filming agreements, marketing agreements, group charters, commission and sponsorship agreements.
  • Drafting terms and conditions for brochures and online and tv ad campaigns for all international offices.
  • Advice and assistance to all areas of the business in relation to the application of new legislation and implementation of changes necessary to ensure compliance.

Programme Management Office Analyst

Contract - apply for details

FourthLine are currently recruiting for a multinational Insurance company who are looking for a PMO Analyst (Programme level) for an initial 6 month contract, based in central London.

The essential skills for this role will include:

  • Advanced MS Office (Excel) and Sharepoint skills, including the ability to analyse and interpret complex data, while escalating Programme risks and issues
  • Experience supporting large scale Programmes within the Financial Services sector
  • Comfortable dealing with and managing senior level stakeholders
  • Exceptional attention to detail and willingness to work, while able to take ownership and work on their own accord
  • Knowledge of Project methodologies (Waterfall/Agile)

The ideal candidate will have:

  • Experience working on company demerger/merger/acquisition Programmes
  • Experience working in Insurance
  • Available immediately or soon to be

If you feel you have the necessary experience and would like to be considered for the role, please apply below.

CASS specialist/BA

Contract - apply for details

Contract

6 months

Competitive analyst day rate

London

FourthLine are currently recruiting for a leading Investment house who are looking for a CASS analyst for an initial 6 month contract, based in central London.

The role will help:

  • Provide cover for BAU CASS tasks, including CMAR, maintenance of CASS RP, development and sharing of MI to senior teams, and analysis of CASS risk across multiple entities.
  • Help monitor performance of service levels within the business and that of the the third party providers.
  • Assist in CASS segregation and reconciliation process improvements on the back of recent CASS audits.
  • Support the CF10a to ensure that best practice is maintained throughout the business.

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

  • A strong knowledge of CASS and working knowledge with chapters, 6,7,8 and 10.
  • Highly organised, self starter, confident, decisive, with analytical mindset, adept at problem solving.
  • A good understanding of investment products, ideally pension and savings related.
  • Available immediately or soon to be.

If you think you are suitable for the role and IMMEDIATELY available please apply below.

Interim Compliance Analyst

Contract - apply for details

.

Data Protection & Compliance Manager

Would you like to be the Data Protection & Compliance Manager at a Civic Society?

Here is a unique opportunity to join a dynamic organisation that is growing rapidly and working with communities across the country.

The successful candidate must have strong knowledge of data privacy and the GDPR. This is to act as the organisations Data Protection Officer. You shall oversee the privacy compliance programs, inform and advise on data protection laws and policies. This professional shall also lead on the ISO27001 project, PCI DSS and other compliance matters.

The day and the life of the chosen professional..

  • Continue the momentum of their GDPR programme and ensure ISO27001 compliance across the business.
  • Ensure data protection and related activities are at the heart of the organisations initiatives through coordination across all departments and teams.
  • Monitor compliance with the GDPR and internal data protection policies and procedures.
  • Assign responsibilities, continue the awareness training and embed a strong privacy culture throughout the organisation.
  • Advise on Data Privacy Impact Assessments, their implementation and outcomes.
  • Act as the point of contact with the ICO for all data protection issues and data breach reporting.
  • Develop and implement an annual data privacy audit plan with a strategic, risk-based approach.

What they are seeking..

  • Someone with demonstrable experience in a similar role around data protection compliance as a Data Protection Officer or Manager.
  • Strong knowledge of data privacy legislation (GDPR, DPA 2018 and PECR).
  • Experience in managing data subject requests, incidents and breaches.
  • Strong knowledge of ISMS frameworks and the ISO27001 standard requirements.
  • Knowledge of Cyber Security risks, PCI DSS and other information security standards.
  • Understanding of internal audit and compliance procedures.
  • A PRINCE2 programme management qualification is advantageous.

Benefits offered in return...

  • Contributory pension
  • Ride to work scheme
  • Childcare vouchers
  • Season ticket travel card loan

?If you would like to know more about the role, please apply with your updated CV and we can arrange a call to see whether this is the right opportunity for you.

Compliance Consultant

ROLE: Compliance Consultant

FIRM: Small, but growing Investment Management firm

DAY RATE: Market Rate

DURATION: 12 Months +

JOB TYPE: Part-Time | Contract | 2-3 days a week

A small, but growing Investment Management firm are looking to appoint an Interim Compliance Consultant on a part-time basis (2-3 days a week) to control the Compliance function.

The role will be to support the Compliance Officer in the running of the Compliance Office, dealing with all Compliance aspects.

If you have strong Regulatory knowledge, and experience across all aspects of Compliance, working for a small-mid sized Investment Management firm, please get in touch.

Senior Compliance Monitoring/Surveillance Manager

FourthLine are currently engaged with a leading Asset Management firm who are looking to recruit a Senior Compliance Monitoring/Surveillance Manager for an initial 12 month contract, with a view to permanent.

ROLE; Senior Compliance Monitoring/Surveillance Officer

DAY RATE: Market Rate

PURPOSE;

The main responsibilities of the individual will be to oversee and enhance the Compliance Department’s front office monitoring and surveillance activities. It is also encouraged to offer advice on related existing and new regulations, policies and procedures, working closely with the first line of defence control group.

KEY RESPONSIBILITIES;

- Responsible principally for overseeing and developing second line of defence surveillance and monitoring. This will include;

  • Best Execution (including timely execution) - equities, Fixed Income, FX, Derivatives
  • Market Abuse Prevention

- Responsible for developing and overseeing the completion of key parts of the annual CMP, applying a risk based approach;

  • Assisting in updating and making the CMP more comprehensive

- Preparing compliance reports to quarterly meetings of UK Best Execution Committee and UK Compliance Committee

- Training & mentoring existing Compliance staff

QUALIFICATIONS/WORK EXPERIENCE;

  • Min 5 years experience in Compliance Monitoring within Asset Management (trade and communication surveillance)
  • Strong product knowledge including equities, fixed income and derivatives
  • Strong knowledge of FCA handbook and EU Regulation

If you qualify for the above, please get in touch with your details.

InfoSec Analyst

Contract - apply for details

FourthLine are currently working with one of our software as a service clients. They are looking to expand their Information Security team. This individual will work closely with Group Legal and the data privacy function to streamline the organisations efforts around GDPR and wider regulatory compliance.

Role Overview:


• Carrying out audits and gap analysis of existing IT and business standards, policies, processes and procedures for compliance with GDPR requirements and IT/Information Security Control frameworks
• Create IT/Information Security standards, policies, processes and procedures
• Create and implement Security and Incident Event Management (SIEM) systems
• Monitor, analyse and report on information security management metrics
• Execute security risk management tasks and security audit processes
• Promote Information Security awareness and training initiatives
• Maintain compliance with the ISO/IEC-27001 and other frameworks

Essential Experience:

• Demonstrable experience of writing Information Security policy and procedures
• Knowledge of e-mail content management software
• Experience of carrying out Gap Analysis on multiple systems
• Knowledge of PCI DSS (preferred)
• Has undertaken 3rd Party due diligence

If this sounds of interest then please send your up to date CV through to matthew.reid@thefourthline.co.uk or call 02038001556 for more details

 

MINIMUM Salary

£ k