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Head of Compliance - Retail Financial Services Marketing - London

1683
£80000 - £90000

FourthLine is currently representing a leading technology company in the financial services sector recruit for a Head of Compliance. This is a new role working closely with the Legal team. The Head of Compliance will be responsible for assessing the existing compliance infrastructure, policies and procedures ensuring they are fit for purpose. The aim is then for the function to scale up in line with the growth the business has seen over the past few years.

Wider responsibilities will include:

• Designing and rolling out a new compliance function

• working closely with Legal, management changes as a result of GDPR

• Review and amend where needed existing compliance policies and processes(including AML, ABC, regulated products, data protection)

• Manage risk and controls providing regular reports to the business

The right candidate for this role will have:

  • Ideally a retail financial services background, and/or marketing or technology sector experience with a retail bias
  • Proven experience as a senior compliance manager, having worked in a challenging and growing business and ideally a firm with global reach
  • Knowledge of data protection regulation and upcoming changes
  • A hands on approach to training, change management and understanding impacts of regulation on the business

The firm pride themselves on being entrepreneurial, ambitious and high growth. If you want to work in a high energy firm who really value work life balance, then get in touch with Jodie Sable for more information.

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.

Senior AML Analyst - Up to £55,000

My client, a well-established and rapidly growing Foreign Exchange company, are looking to bring a multi-lingual Senior Compliance Analyst into their Anti-Money Laundering and Compliance team.

Based in their London office, the ideal candidate:

  • MUST be fluent in oral and written Mandarin/Chinese
  • Working knowledge of AML, Compliance and onboarding of new clients
  • Working experience within a Financial Services organisation, ideally Banking, FX, Payments etc.
  • Knowledge of the FCA handbooks and new regulations effecting the market.
  • Undertake KYC/CDD on both new & existing customers, within the Chinese market.

The client is looking to make this hire as soon as possible. If you’d like to discuss the role in more detail, please send your CV to maria.koundouri@thefourthline.co.uk

Deputy CRO - Interim

Contract - apply for details

Fourthline is supporting a growing Investment business based in the centre of London.

The client is looking for an Interim deputy CRO to work directly with the CRO. The short term contract will support the management and improvements to internal risk frameworks, and provide advice on various risk management areas while working as a member of the senior management team.

The following skills and experience are essential:

- Strong background in Risk Management within Banking, Pension or Fund Management, able to manage all elements of a Risk function

- Good knowledge of Risk Management frameworks and driving improvements, making recommendations on internal infrastructure and model changes.

- . Sound understanding of Capital Adequacy requirements and associated compliance.

- Senior stakeholder management, able to communicate complex solutions to CRO and senior leadership teams

If you possess the above skills and experience and immediately available for a 3 month day rate contract please contact us for a further chat and full Job specification.

Head of Risk

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PSD2 and SWIFT SME

Contract - apply for details

FourthLine are currently working with a consultancy client looking to build their audit and assurance function. The candidate will be working with various clients assessing their payment service offerings.

The role will include:

  • Delivering advice or audits of payment service security and risk management for SWIFT, PSD2, Card schemes, BACS, CHAPS, SEPA and Faster Payments

The right candidate will have the following background:

  • Technical understanding of a wide range of payments schemes and processing (Card schemes, BACS, CHAPS, SWIFT, SEPA, Faster Payments or PSD2)
  • Proven experience reviewing/deploying security infrastructure for payments or payments reviews in the corporate, financial or public sector
  • Proven ability to identify and assess complex payments security risks and controls, relate them to the wider business environment and communicate opinions clearly.

If this role sounds of interest then please apply with your up to date CV to matthew.reid@thefourthline.co.uk

Cyber SME

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FourthLine are working with one of our consultancy clients who are looking for a Cyber Security SME to support the Cyber Security team in performing audits and advisory.

The role will support mainly SME clients needing assurance on their Cyber resilience programmes. Reviews are based on control standards like NCSC 10 steps to cyber, NIST, CIS or other relevant frameworks. The reviews also consider the latest regulatory expectations and thinking (i.e. BIS/IOSCO, GDPR).

The right candidate will have the following experience:

  • A background in 1st, 2nd or 3rd line of defence review and audit work (i.e. SOC Controls Manager, CISO, IT Technical Auditor).
  • Proficient understanding of Governance, Risk Management, and the technologies (incl. hardening) and control processes under review.
  • Reporting skills are essential and communication skills should be flexible and adaptable to meet the target audience.
  • Assignment will take place from start to finish at client premises.

If this role sounds of interest then please apply today with your most up to date CV to matthew.reid@thefourthline.co.uk

PMO / Project Manager- - London - 6 Month FTC - Pro Rata Salary upto £70,000.

£60000 - £70000

FourthLine are currently recruiting for an PMO / Project Manager to join our client based in London. The successful candidate will be hired on a 6-month FTC with a pro-rata salary up-to 70,000.

Joining the team as an PMO / Project Manager, you will be managing and delivering several projects within the firm, as-well as carrying out general PMO responsibilities. Some of the main responsibilities of the role are the following:

  • Delivering projects in both an agile and waterfall environment.
  • Contribution to the implementation of several projects by developing and controlling plans, schedules and costs.
  • Financial Management – Maintaining project financials (forecasts v actuals)
  • Responsibility for managing the delivery of multiple projects at one time.
  • Lead project teams comprised of stakeholders such as work-stream leads, BA’s, SME’s and Change Analysts

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

  • 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, either as an PM or an PMO.
  • Experience of working in the legal or professional services environment would be advantageous, but not necessary.
  • A competent understanding of project management techniques, as-well as solid commercial and analytical skills.
  • Experience assisting with the delivery of projects within an PMO function, preferably related to system updates/process improvements.

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 Daniel.bright@thefourthline.co.uk. We are more than happy to talk about this position in further depth and answer any questions.

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

Senior CASS Transfer Agency Analyst

FourthLine are currently recruiting for a leading Financial Services Firm who are looking for a Senior CASS Transfer Agency Analyst.

The role consists of:

  • Assist in supporting the end-to-end oversight of the Transfer Agency's processes.
  • Support a strong CASS oversight model within the business alongside their compliance team.

  • Assist in ensuring that all TA processes and procedures are both documented and maintained.
  • Ensure strong relationships are maintained both internally and externally.

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

  • Knowledge of CASS.
  • Previous experience dealing with or managing third party providers, administrators or platforms.
  • Highly organised, confident, decisive and enthusiastic self-starter.

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

Junior CASS Transfer Agency Analyst

FourthLine are currently recruiting for a leading Financial Services Firm who are looking for a CASS Transfer Agency Analyst.

The role consists of:

  • Assist in supporting the end-to-end oversight of the Transfer Agency's processes.
  • Support a strong CASS oversight model within the business alongside their compliance team.

  • Assist in ensuring that all TA processes and procedures are both documented and maintained.
  • Ensure strong relationships are maintained both internally and externally.

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

  • Knowledge of CASS is desirable.
  • Previous experience dealing with or working within third party providers, administrators or platforms.
  • Highly organised, confident, decisive and enthusiastic self-starter.

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

Technology Risk Consultant

FourthLine are working with a boutique consultancy who are looking for a Permanent Technology Risk Consultant.

You will be working on client site (NO Business Development) helping firms with their GDPR/Tech Risk/Information Security/IT Audit requirements.

Ideally, they am looking for someone with a mixed skillset, with a background in either Information Security/Technology Risk/IT Audit.

Financial Services experience is preferred, but any notable organisation is also acceptable and you must have at least 7 years experience.

If you're interested, please send your CV to michal.mcavoy@thefourthline.co.uk

Technology Risk Senior Consultant

FourthLine are working with a boutique consultancy who are looking for a Permanent Technology Risk Senior Consultant.

You will be working on client site (NO Business Development) helping firms with their GDPR/Tech Risk/Information Security/IT Audit requirements.

Ideally, they am looking for someone with a mixed skillset, with a background in either Information Security/Technology Risk/IT Audit.

Financial Services experience is preferred, but any notable organisation is also acceptable and you must have at least 10 years experience.

If you're interested, please send your CV to michal.mcavoy@thefourthline.co.uk

Legal & Regulatory Compliance Manager

£75000 - £80000

Would you like to develop the Compliance department of an international media company?

This professional shall be responsible for embedding a strong compliance throughout the business. To do this, you shall partner up with internal leaders, heads of department and employees across their international network. They seek someone that can implement policies, test compliance, raise awareness, suggest solutions and provide administration of this work.

Their UK head office is based in Central London and there will be the opportunity to travel across their international offices. This role will be offering 70,000 to 80,000.

Responsibilities

  • Drive a compliance culture throughout the global business.
  • Excel the compliance implementation plan across data privacy, economic crime, geopolitical risk, the environment and relationships.
  • Deliver practical advise and be the point of contact for regional officers and business units.
  • Design training material to deliver to different business units and ensure this is executed by designated participants.
  • Liaise with senior teams across the business and support the management of the compliance team across the business.
  • Maintain a centralised risk register for the Compliance function.
  • Collaborate with internal and external resources to keep updated with legislative and regulatory developments which affect global compliance issues.
  • Be the trusted advisor to the compliance community at the media organisation.
  • Leverage strong relationships across the business.

Experience & Qualifications

  • Legal professional qualification or worked within a legal compliance culture for several years.
  • Law firm training and in-house experience in a compliance function.
  • Experience in risk management with compliance programs.
  • Drafting of policies and procedures, creating and organising training, leading internal investigations and writing reports on this work.
  • Knowledge of data privacy, anti-bribery and corruption laws.
  • Pragmatic, commercial approach to work.
  • Gravitas, passion and strong ethics to deliver on the role with professional integrity.
  • Ability to build positive, productive relationships with colleagues.
  • Capable of dealing with multiple projects at any one time.

Please apply with your updated CV and if you have the right experience we can arrange a call to see whether this is the right opportunity for you.

 

MINIMUM Salary

£ k