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

£35000 - £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 skill set in a fast paced environment, with the opportunity to diversify their compliance portfolio and gain unprecedented exposure to senior executives in a business.

If you have the relevant experience, please email for more information and a discussion about your experience.

Managing this Role


Jodie Sable

Managing Consultant - Retail Conduct 0203 800 1566

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


Data Privacy Manager

£35000 - £55000 per annum

Would you like to work in the retail sector?

We have a brand new role to be a Data Privacy Manager at a quirky retailer in central London.

This is an omnichannel brand that are very passionate about their customer's experience. People are at the heart of their business and they pride themselves on their company culture and values.

You shall join the business to take over the appointed lead for their privacy compliance programme and build relationships with people across all areas of the business.

Would you like to take that step into a stand alone role?

This is perfect for someone that would like to up their accountability and be that driving force behind privacy operations.

You will be engaging with the directors and senior leadership team to drive a culture of privacy compliance throughout the business.


  • Drive awareness of data protection across the business.
  • Liaise and co-ordinate with the project delivery teams and business functions to ensure privacy issues are identified, addressed and documented.
  • Develop, manage and deliver a data privacy training programme.
  • Develop and maintain DPIAs and privacy registers.
  • Manage SARs and co-ordinate with third parties and business areas.
  • Create the data privacy processes and documentation in line with business operations.
  • Be the point of contact for data queries from the customer and go through the process of investigating, resolving or escalating.
  • Analyse, monitor and measure the data protection compliance.


  • Strong practical experience and knowledge of data privacy, GDPR and its application within a business.
  • Ability to develop and embed practical processes within a business.
  • A pragmatic approach to their day to day deliverables.
  • Understanding of data structures and flows.
  • A create communicator that has the ability to influence senior stakeholders.


  • 33 days holiday and option to buy or sell more!
  • Bonus scheme
  • Staff discount!
  • Pension contribution
  • Private medical
  • Community days!

There is plenty more to brag about the company benefits this company offer so please do send across your CV if this role has tempted your interest.

If you have the experience our client is looking for I shall give you a call this week. The client is looking to move fast with interviews taking place from the end of this week!

1LOD Risk Manager

£50000 - £65000 per annum pension, healthcare and annual bonus

Fourthline are working with our London based client, as they recruit for a 1LOD Risk Manager to join their growing business.

Job Type: Permanent
Location: London
Salary: Up to £65,000
Work Pattern: Mon-Fri, 9-5

- 2LOD or 3LOD experience, looking to move into 1LOD
- Experience of working in a regulated Financial Services business
- Experience in training and coaching new and existing staff on risk regulations
- Ability to write Risk MI Reports and present findings.
- Audit or Risk background, ACA qualification beneficial but not essential

If you have the relevant experience and would like to discuss the role in more detail, please send an up-to-date CV

Senior Compliance Manager

£65000 - £80000 per annum pension, healthcare and bonus

Fourthline are assisting a global FCA regulated media and telecoms company in their urgent search for a Senior Compliance Manager to join the busy Risk and Compliance team.
Work Pattern: Monday - Friday, 9am - 5pm, with flexible hours and home-working option.
Start Date: 30th November 2018
Location: London
The ideal candidate will:

  • Have vast experience working within a regulated financial business
  • Thorough knowledge and understanding of recent Consumer Credit regulations and policies
  • Experience designing and implementing Risk and Compliance frameworks
  • Knowledge of embedding a 3LOD model into a regulated business
  • Experience reporting in board meetings and working alongside C-suite members and Senior Stakeholders.
  • Thorough and up-to-date knowledge of the Consumer Credit FCA Regulations, to act as a point of contact for all regulatory matters.
  • Be able to work well under pressure, in a fast-paced environment
  • Experience of people management/leading a team.

Main responsibilities of the role would include:

  • Continued monitoring and development of new and existing risk frameworks
  • Management of 2x Risk and Compliance analysts
  • Embedding a 3LOD model across the business
  • Developing the ongoing compliance monitoring programme
  • Manage liaison between the regulator and the Compliance team.

If you believe you have the relevant skills and would like to discuss the role in more detail, please send an up-to-date CV to maria.koundouri"at"

Global Transaction Reporting Manager

FourthLine are currently recruiting for a leading Financial Services Firm who are looking for a Global Transaction Reporting Manager.

The role consists of:

  • Manage team of 6 based within the UK and Australia.

  • Ensure reporting deadlines for are met and quality check the reports.

  • Be responsible for the oversight & implementation of global regulatory reporting requirements

  • Manage any current and future regulatory changes across the business and liaise with reporting team and change teams for any process improvements or implementation.

In order to qualify for the role, my client is looking for candidates who have/are:
  • Extensive experience of managing regulatory reporting team is essential.
  • Strong technical knowledge of regulations including but not limited to EMIR & MIFID.
  • Previous experience of working within an asset manager is essential.

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

Senior Regulatory Reporting Consultant

FourthLine are currently recruiting for a leading Financial Services Firm who are looking for a Senior Regulatory Reporting Consultant in London.

The role consists of:

  • Be responsible for the FATCA/CRS regulatory reporting and the department point of contact on all related issues and queries for internal and external clients.

  • Ensure reporting deadlines are met and quality check the reports.

  • Monitors and report on yearly report production and make recommendations to manager on procedure changes.

  • Conduct process reviews compile and submit IMA returns, coordinate business continuity plans and to provide management information and analysis to business units based in EMEA.

  • Provide MIS reporting and operational support across the business unit.

  • Understand and communicate new and existing regulatory changes to clients and internal partners and maintain close relationships with senior stakeholders.

In order to qualify for the role, my client is looking for candidates who have/are:
  • Previous experience of FATCA/CRS reporting is essential.
  • Strong data analysis skills and working knowledge of Excel and Power Point.
  • Previous experience of working within a Transfer Agency 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.

Privacy Specialist

Would you like to be the Privacy Specialist at a consumer driven firm?

This is a newly appointed opportunity for a professional to join a global privacy team that have been building out their function across jurisdictions.

The team have been working hard to build a strong compliance culture and now they would like to welcome a Privacy Specialist to join their global business venture where data is at the forefront of their journey.

The company are always seeking to improve the customer experience in the fast paced world of consumer goods and with this there is a need for an innovative Privacy Specialist to join the team.

The day and the life of the chosen professional..

  • Work with teams across the business to ensure that data protection risks are identified and all personal information processing activities comply with the GDPR and national regulations.
  • Liaise with business units to build an understanding of privacy risks related to their data processing and advise on how to mitigate risks.
  • Embed Privacy by Design into business processes.
  • Work with the team to carry out training and awareness, review policies and procedures, complete testing and monitoring to ensure compliance with the firm's privacy framework.
  • Insert privacy language into contracts with third party providers.
  • Provide assessments and documentation of privacy risks with proposed plans to mitigate the risks.
  • Manage the response to privacy incidents. Process and complete SARs and DPIA.
  • Liase with the regulator and notify any data breaches through the set up breach processes.

What you shall need..

  • Strong experience in a previous privacy, legal or compliance function.
  • Capability to work autonomously and provide privacy advice to a complex organisation.
  • Strong understanding of the GDPR.
  • Experience working in a matrix environment within a large organisation.
  • Ability to engage with a wide range of business units.

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.

Privacy Manager

£65000 - £85000 per annum

One of the largest multinational law firm are seeking an in-house Privacy Manager....

This is an in-house opportunity to be the Privacy Manager at an organisation that represent a wide range of enterprises. You shall be the organisations specialist that drives the privacy culture across the board.

The day and the life of the chosen professional..

  • Collaborate with colleagues across the business to ensure ongoing, company-wide compliance with the GDPR.
  • Create and deliver innovative training tailored to different areas of the business.
  • Conduct and implement Data Privacy Impact Assessments.
  • Manage records related to data protection requirements and data subject requests.
  • Manage data incidents and breaches in coordination with the firms key players.
  • Communicate and report into the ICO.

What they are seeking..

  • Someone that is legally qualified OR has worked within a legal compliance framework.
  • An expert to lead the firms data privacy and GDPR strategy.
  • The ability to work collaboratively with colleagues across the business.
  • Strong project management, interpersonal and organisational skills.
  • The capability to prioritise and deliver to deadlines.

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.

Risk and Compliance Project Manager

£400 - £450 per day

FourthLine are working with a Global Law firm who are looking to hire an Interim Project Manager for 12 months in London.
The Project Manager will be working on the following projects.
1) Implementing the ISO 9001 standard
2) Implementing a Compliance framework and policies across the whole organisation.
The firm are looking to hire ASAP, but a few weeks notice is acceptable.
I am looking for someone who has process implementation, design and delivery experience, with strong PM skills.

If this role sounds of interest, please email

Head of Risk Analytics

Up to £90000 per annum

FourthLine are currently recruiting for a leading Online Payments firm who are looking for a Head of Risk Analytics.
The role consists of:

  • Develop an in-depth understanding of key business risks and performance indicators, and the control functions that are used to influence them
  • Lead a team of data scientists, setting priorities for the analysis required to inform business decisions about risk mitigation strategies and risk controls that are to be implemented
  • Oversee the implementation and management of risk systems, including enterprise transaction monitoring tools.

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

  • In depth experience in payments fraud typologies
  • A deep understanding of KYC principles and regulatory frameworks for KYC and KYB
  • Working knowledge of transaction monitoring platforms such as Actimize, Accertify, and Feedzai

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

Regulatory Auditor - Insurance

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 for further details on this interesting and unique opportunity.


FourthLine are currently recruiting on behalf of a client who are looking for a CF10a.
The role responsibilities include:
  • CF10a responsibilities.

  • Maintaining and testing the CASS RP.

  • Heading up the Finance team.

In order to qualify for the role requirements include:

  • Previous experience of CF10a or ready to take on the CF10a role.

  • Highly developed analytical and problem solving skills.

  • Strong resilience.

Senior CASS Associate

FourthLine are currently recruiting on behalf of a client who are looking for a CASS Reconciliations Associate.
The role responsibilities include:

  • Performing daily internal and external reconciliation.

  • Preparing instructions and monitoring cash transfers for transaction accounts for multiple asset classes.

  • Client reporting including trade confirmations, statement of holdings and monthly statements.

In order to qualify for the role requirements include:

  • Minimum 2 years' experience in financial services

  • Highly developed analytical and problem solving skills.

  • Knowledge in OTC financial products, Client Assets (CASS) rules, EMIR and MIFID


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