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Compliance Monitoring Manager

1794
£65000 - £75000

N/A

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.

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.
  • 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:

  • Knowledge of CASS.
  • Highly organised, confident, decisive and enthusiastic self-starter.
  • Experience working in or with a TPA.

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
  • 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.

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
  • Provide SME advice on all matters data protection across business functions
  • Conducting privacy impact assessments and provide advice on projects
  • Assist in creation and maintenance of data protection policies and procedures
  • 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)
  • Relevant qualifications – CIPP/E etc.
  • International experience

Essential:

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

Senior Data Protection Manager

FourthLine are working with a recognised Financial services and logistics firm, supporting their search for a Senior DP Manager. The role reports to the GDPR Programme Manager, with a dotted line to the DPO.

Key skills & experience:
• 5 years of DP experience in a DP role e.g. DP manager or DPO.
• Experience of acting as DP SME for the business.
• Technical knowledge of DP.
• Experience of drafting policy and procedure documents

Key tasks:
• Support reviews of multiple products across several business functions
• Act as the DP SME for completion of the reviews
• Identify the gaps and remediation required and be involved in the formal business reporting
• Support implementation of an remediation including drafting of key documentation including privacy notices, updates to contracts etc

• Responsible for key tasks / deliverables in support of the GDPR Governance Framework Workstream
• QA/draft policy documents - specific documents to be assigned
• QA /draft operating procedures - specific documents to be assigned
• Production of positioning papers to support risk based business decisions (as required)

If this role sounds interesting and you would like to apply please send a copy of your up to date CV to matthew.reid@thefourthline.co.uk

Data Protection Specialist

Job Title: Data Protection Specialist

Location: London

Contract: 12 Months

Rate: Competitive

Key Responsibilities

1. Coordination and timely responding to data subject requests

2. Logging data subjects requests

3. Collecting and extracting personal data from various systems and business stakeholders to satisfy the requests.

4. Drafting responses to and interacting with data subjects by e-mail or by means of a dedicated portal.

5. Handling and regulatory reporting of data breaches and incidents

6. Logging breaches and incidents

7. Assisting information incident response team

Experience

Professional with compliance or data protection background in the insurance or financial services industry and experience in data protection regulations (experience in financial services regulations is preferred).

Highly adept at managing competing priorities in a very busy and high pressured environment. Excellent time management and organization skills.

Strong inter-personal skill and skills at communicating data privacy issues to internal clients in a firm but professional manner.

Demonstrates technical aptitude to understand how to use systems conducting Data Subject Request searches and subsequent population of personal data elements.

Qualifications

CIPM, CIPP/E (preferred)

Knowledge of data protection regulations

Additional Languages

Italian, Spanish, German or French is preferred but not essential

Herbert Smith Freehills

My client, a global law firm is seeking a Data Privacy Manager to join the firm. This company is based in Central London.

Seeking an experienced Data Privacy Manager to lead the firm on all matters Data Protection, ensuring ongoing GDPR compliance and embed a privacy culture.

Responsibilities:

  • Implement, maintain and update Data Protection policies and processes
  • Keeping up to date with privacy developments and regulations
  • Carry out DPIA’s and embedding privacy by design
  • Point of contact for Data Protection
  • Deliver training on data protection to functions, raising awareness
  • Drafting Data Protection documentation where necessary
  • Work closely with all functions including information security, ensuring compliance

Essential:

  • 2+ years data protection and privacy experience
  • Expert knowledge of data protection regulation (DPA, GDPR, PECR etc)
  • Experience of managerial position
  • Understanding of complex global organisation

Desired:

  • CIPP/E or CIPM or Practitioner Certificate in Data Protection/Privacy
  • Regulated industry experience – favourable although not essential
  • Positively influence stakeholders and management
  • Ability to develop strong working relationships

If this is of interest, please apply, as the client would like interviews to take place as soon as possible.

 

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