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Regulated Complaints Handler

2563
£35000 - £45000

As Complaints Team Leader your role will be to manage a team of 6 Complaints Handlers to ensure that all complaints received by the Company are managed in accordance with established procedures and regulatory standards and resolved promptly, accurately and in accordance with the requirements of the FCA’s Dispute Resolution Handbook. The role will involve proactively managing the team and their workload, internal and external SLAs and the production of Management Information including root cause analysis data.

This will require proven management experience, strong investigation, administration and customer service skills and an excellent knowledge of financial products, TCF principals and both the FCA and Financial Ombudsman Service guidelines.

Naturally, you will be expected to ensure that all complaints are logged on to the relevant systems, proactively monitored and engage with internal stakeholders as requested.

The role will also involve liaising directly with the FCA and the Financial Ombudsman Service, in connection with any complaints which have been referred to these bodies.

As Complaints Team Leader your role will be to manage a team of 6 Complaints Handlers to ensure that all complaints received by the Company are managed in accordance with established procedures and regulatory standards and resolved promptly, accurately and in accordance with the requirements of the FCA’s Dispute Resolution Handbook. The role will involve proactively managing the team and their workload, internal and external SLAs and the production of Management Information including root cause analysis data.

This will require proven management experience, strong investigation, administration and customer service skills and an excellent knowledge of financial products, TCF principals and both the FCA and Financial Ombudsman Service guidelines.

Naturally, you will be expected to ensure that all complaints are logged on to the relevant systems, proactively monitored and engage with internal stakeholders as requested.

The role will also involve liaising directly with the FCA and the Financial Ombudsman Service, in connection with any complaints which have been referred to these bodies.


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Compliance Manager - London - Up to £50,000

Fourthline are working with our client, a global Financial Services company, to assist in their search for a Compliance Manager to join their London headquarters. This varied and exciting role offers you the opportunity to develop your regulatory compliance knowledge in one of the worlds largest financial services organisations, working with the Senior Compliance Manager and Chief Compliance Officer.

You will have:

  • Experience working within a regulated financial services firm, retail banking or payments would be beneficial;
  • Previous experience within Compliance Advisory functions, and practise in Senior Stakeholder management;
  • Good understanding of compliance regulations and frameworks in line with Consumer Credit (CONC);
  • Ability to draft and construct well-articulated reports, to be presented to C-suite members and senior stakeholders.

This role can be based in London or Brighton, with occasional travel between offices.

If you’d like to discuss this role in more detail, please send your CV to [email protected] to arrange a time to speak.

Investment Operations Analyst

FourthLine are currently recruiting for a boutique wealth manager who are looking for a Investment Operations Analyst.

The role consists of reporting on the following:

  • Production of Client Investment Performance Reporting.
  • Production of Client Reports.
  • Processing of corporate actions in conjunction with third party provider.

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

  • Industry experience within Financial Services operating in a similar role within Operations/Middle Office function.
  • Ideally a broad understanding of investments across back, middle and front office.
  • Knowledge of processing Corporate Actions.

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

Data Protection Manager

£38000 - £38000

A fulfilling and lifechanging charity are looking for their new Data Protection Manager with the interest of easing them into the statuary DPO role.

This role, based near Kensington in West London, is looking for a data protection subject matter expert to manage the charity’s data protection compliance activities and provide high-level data protection advice.

A day in the life in this role:

  • Host any privacy training and GDPR awareness courses for the staff and volunteers;
  • Either act as the DPO or train toward becoming comfortable in the statuary DPO role;
  • Carry out any incoming information requests;
  • Provide detailed and understandable advice to the staff and volunteers on how best to handle information;
  • Assist with data protection and compliance audits internally;
  • To review and update any internal policies & procedures and ensure all documentation and contracts are compliant.

The ideal candidate would:

  • Feel comfortable being considered an organisation’s data privacy subject matter expert;
  • Be able to communicate and translate the complexities of the GDPR to all levels of staff and volunteers associated with the charity;
  • Enjoy putting themselves into different teams across the business and demonstrating best privacy working practices;
  • Have charity/not-for-profit experience;
  • Have demonstrable working experience of implementing GDPR into an organisation and advising on Data Protection;
  • Have delivered privacy and GDPR training.

Head of Commercial Technology

£150000 - £300000

Head of Commercial Technology

Senior IT SOX Analyst

FourthLine are working with a Media firm who are looking for a Senior IT SOX Analyst to join the team in Manchester. The analyst will plan and manage the reviews of the Sarbanes Oxley controls and perform risk assessments.

Day-to-day:

  • Responsible for the testing of IT controls for SOx, assessing their effectiveness and reporting to Senior Management on their analysis;
  • Support SOX managers to ensure there is alignment within the IT and Finance teams;
  • Provide recommendations for improvements to controls.

What I am looking:

  • An Information Security professional with a background in IT Audit who has significant experience with SOX testing.

Location: Manchester

Salary: 40,000.

ISO27001 Analyst

FourthLine are working with a Media company who are looking for an ISO 27001 Analyst to join the firm. The ISO 27001 Analyst will ensure on-going compliance to the security standards and support the team in the assessments and testing of IT security controls.

Day to day:

  • Responsible for testing of IT controls and reporting on findings to Senior Management
  • Ensure remediation actions have been taken and process documentation is kept up to date
  • Assess the effectiveness of operating controls

What I am looking for:

  • An Information Security professional with demonstrable experience of ISO 27001 testing and IT audit.

Location: Birmingham

Salary: 40,000

PMO Analyst

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Complaints Manager - North West England - Up to £40,000

Fourthline are working with our client, a financial services provider in their search for an experienced Complaints Manager to join their North West division.

Title: Complaints Manager
Salary: Up to 40,000
Working hours: 9 – 5, Monday – Friday.

The ideal candidate will have experience articulating written communication with the Financial Ombudsman Service. The client is open to seeing candidates from all Financial Services background, but ideally you will have knowledge of Consumer Credit regulations. You will:

  • Have oversight of the existing Complaints Team, providing training across the business where necessary;
  • Dealing with all liaison between the Financial Conduct Authority and Financial Ombudsman Service on behalf of the business;
  • Writing and amending written templates, to be used across the business;
  • Have the ability to work in a role which is both consumer-facing and regulator focussed;
  • Have good written and spoken English and be able to communicate effectively with both senior members of the business and the Regulatory bodies.

If you’d like to discuss this role in more detail, please get in touch as soon as possible, with your most up-to-date CV to arrange a time to speak.

Head of Compliance & Risk (Singapore Regulation - UK Based)

Contract - apply for details

FourthLine are currently working with a leading global international insurance firm that are looking to secure a Head of Compliance & Risk to act as a lead to set up their new office branch in Singapore. The role is based in London, however, will require candidates to have previous experience liaising with the Singapore regulatory body (the MAS).

This is an extremely competitive day rate contract (DoE) of 6-9 Months, however, is very likely to extend up to 18 months with the possibility to be permanent after the project is completed.

It will also require candidates to travel to Singapore every quarter to liaise with the APAC compliance, risk and workstream teams.

The firm also has offices in Brighton, so candidates in / between both London and Brighton should apply for this. There may be some travel between offices when needed.

Requirements - Head of Compliance and Risk

  • Operated up to a Head of / Director level in a compliance and risk function
  • Have worked with the MAS (Monetary Authority of Singapore previously) or have knowledge of Singapore insurance / financial regulatory knowledge
  • Previous experience setting up compliance and risk functions from the ground up. Capable of ensuring the absolute delivery of appropriate policies, frameworks and processes in aligned with Singapore regulatory frameworks.
  • Key stakeholder management / gravitas; candidates must be able to engage confidently with other senior stakeholders across international teams and workstreams - providing local regulatory advice on MAS issues
  • Ensuring that the Singapore branch is set up in a compliant manner to all applicable regulations.
  • Although candidates will be responsible for both the compliance and risk function, candidates with experience geared towards more compliance or more risk should still apply
  • Ideal candidates should come from an insurance background (however other compliance experience with the MAS will also be considered)
  • Senior Regulatory / Compliance Lawyers with Singapore experience would also be suitable candidates.

If this role is of interest, please apply using the link and we will be in touch to discuss in more detail.

Share Schemes Administrator

FourthLine are working with a multinational insurer to recruit a Share Plans Administrator (London) to join their team.

The right candidate will...
- Have experience in working alongside the share plan legislation and regulations.
- Be a proactive worker with an eye for attention to detail.
- Be able to proficiently use Exel and have strong computer literacy.
- Work well both independently and in a team.
- Have outstanding organisational and communication skills.

Their main responsibilities will be …
- To support the delivery of the Grants and Releases of all the companies employee and executive Share Plans at a global scale.
- to work collaboratively with the different sectors of the company including Rewards, Legal and HR/Payroll. -Leading all ad-hoc queries.
-To ensure a smooth operation of all plans including; UK and Ireland SAYE plans, UK Matching Share Plans, Global Matching Share Plans and Executive Share Plans.
- Plan ahead for all future Share Scheme events.
- Creating awareness plans on the education of Share Plans.

To find out more information about the role, please contact [email protected]

Compliance Manager

FourthLine are exclusively representing an up and coming financial technology provider as they look to hire a Compliance Manager to their expanding London operation. The company has gone from strength to strength over the past two years offering services such as peer to peer lending, pre-paid card services, currency exchange and much more. They continue to grow across Europe and have plans to offer services in North America.

Joining the Group Compliance team, you will have specific responsibilities for the wealth and trading products. You will become the CF10 for this particular area of the business. Working very closely with the Head of Group Compliance and the Head of Wealth and Trading, you will take ownership of:

  • Designing, amending and implementing relevant policies and procedures for the wealth and trading arm of the business
  • Review and sign off of financial promotions and other marketing materials.
  • Horizon scanning and providing recommendations to the wider compliance and legal team about potential changes needed within the firm.
  • Working closely with the Head of Trading and Wealth to design and get regulatory approval for new products

To be considered for this position you must have:

Legal qualification in the UK

Knowledge and experience of regulations and compliancebest practice that apply to retail investments products, ideally stock brokerage or wealth management

You will ideally have:

Experience working for a compliance consulting firm or a FinTech Provider

Tech or digital background, and able to work with various digital platforms

Previous experience as a CF10 would be ideal, but in no way essential.

To find out more about the firm and the role, please contact Robert Morrison on 0203 800 1547 [email protected]

 

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